Daniel Mark Gaugert

Employer firm

Capital Advisers, Inc. CRD 118442

$620M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/1995 → Present
  Capital Investment Group, Inc.
  Raleigh, NC
• 01/2013 → Present
  Capital Investment Advisory Services, Llc
  Raleigh, NC

Previous Registrations

• 2013-01-02 → 2024-08-19
  Capital Investment Advisory Services, Llc
  Raleigh, NC
  Raleigh, NC
• 2006-04-25 → 2012-12-31
  Cic Advisers, Llc
  Raleigh, NC

Other Businesses

1. GAUGERT FINANCIAL, INSURANCE AGENT PROVIDING INSURANCE SERVICE & SALES. SPEND APPROX 60 HRS/MO ON SUCH ACTIVITY, 75% DURING NORMAL TRADING HOURS. SAME ADDRESS AS OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED BUSINESS PER FINRA DEFINITION. BEGUN IN 1991. 2. SINGER. SINGER WITH VARIOUS ORGANIZATIONS. STARTED 5/2019. 10 HRS/MONTH, 0 DURING NORMAL TRADING HOURS. NOT INVESTMENT RELATED. 3. NC MASTER CHORALE. MEMBER OF BOARD OF DIRECTORS. POSITION ADDED 7/2022. PO BOX 562 RALEIGH, NC 27602. 1 HR/WK, 1 DURING NORMAL TRADING HRS. NO COMPENSATION. NOT INVESTMENT RELATED.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-02-22
• S63 Uniform Securities Agent State Law Examination
  1991-09-27

Designations

• Chartered Financial Consultant

Other Names

• Dan Gaugert