Michael E. De La Garza

CAPITAL INVESTMENT ADVISORS

Greenwood Village, CO 80111-2935

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CRD#: 4473647

Professional summary

Michael E De La Garza, who also goes by Michael Edward De La Garza, Mike Edward De La Garza, Michael Edward Delagarza, is a registered financial advisor currently at CAPITAL INVESTMENT ADVISORS, LLC located in Greenwood Village, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Edward De La Garza | Mike Edward De La Garza | Michael Edward Delagarza

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Perry Investment Solutions; Rental Property; Investment related: no; Address of business: Denver, Colorado 80212; Start date of relationship: 2/1/2018; Number of hours devoted: 0 hour(s); Number of hours devoted during trading hours: 0; Duties: member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael E De La Garza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 18, 2019 - Present

CAPITAL INVESTMENT ADVISORS, LLC

Office #1: 8101 E. Prentice Avenue #800, Greenwood Village, CO 80111-2935

RIA

CRD#: 158055

Greenwood Village, CO

Past

August 25, 2014 - March 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

July 16, 2014 - March 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

Past

January 1, 2002 - May 3, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 1, 2002 - May 3, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/18/2019)

IAR

Texas
(5/3/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2014

General Securities Representative Examination

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

CRD#: 158055 / SEC#: 801-72532

RIA

Registered Investment Advisory firm - (7/7/2011 Approved)

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Contact information

Main Address

10 Glenlake Parkway North Tower, Suite 1000, Atlanta, GA 30328

Mailing Address

Phone number

(404) 531-0018

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL INVESTMENT ADVISORS LLC (8/14/2025)

Regulatory assets under management

Total Number of Accounts	13,529
AUM (Assets Under Management)	$ 6,298,397,792

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2025	Cover Page	Report
10/15/2024	Cover Page	Report
10/24/2023	Cover Page	Report
12/20/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael E. De La Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael E De La Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2014

Current Firm

CAPITAL INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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