JMF CAPSTONE WEALTH MANAGEMENT
CAPSTONE WEALTH MANAGEMENT, LLC Legal Name
Adviser information for JMF CAPSTONE WEALTH MANAGEMENT last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Alabama, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 508 | $333.3M |
| Non-Discretionary | 5 | $3.1M |
| Total | 513 | $336.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 111 | $37.0M |
| HNW Individuals | 92 | $291.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $3.6M |
| Charitable organizations | 5 | $1.3M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $2.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-107846 |
|---|---|
| SEC ERA File Number | 801-107846 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 118296 |
| Legal Entity Identifier | None |
Principal Office
2200 JACK WARNER PARKWAY, NESUITE 300
TUSCALOOSA
AL
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 205-349-2050, Fax: 205-722-9549
Websites
Chief Compliance Officer
JOEL W. LAKE
CHIEF COMPLIANCE OFFICER
2200 JACK WARNER PARKWAY, NE
SUITE 300
TUSCALOOSA
AL
United States
Tel:
205-349-2050
Fax:
205-722-9549
J****@**************M
(Full email address available in API data)
Regulatory Contact
THERESA BAKER
CUSTOMER SERVICE SPECIALIST
2200 JACK WARNER PARKWAY, NE
SUITE 300
TUSCALOOSA
AL
United States
Tel:
205-366-4015
Fax:
205-722-9549
T*****@**************M
(Full email address available in API data)
Industry Affiliates
| JAMISONMONEYFARMER PC | Accountant or accounting firmPension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JMF WEALTH MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 02/2014 | > 75% |
| LAKE, JOEL, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2014 | < 5% |
| GOLDSMITH, SCOTT, A | Individual | – | MANAGING MEMBER | 01/2018 | < 5% |