CAPITAL POINT FINANCIAL GROUP, LTD.
Adviser information for CAPITAL POINT FINANCIAL GROUP, LTD. last updated from Form ADV on February 13th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 11 |
| Licensed Agents of an Insurance Company | 9 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 1,604 | $312.6M |
| Total | 1,604 | $312.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 633 | $96.1M |
| HNW Individuals | 295 | $212.8M |
| 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 | $3.5M |
| Charitable organizations | <5 | $271,272 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 135.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CAPITAL POINT FINANCIAL GROUP WRAP FEE PROGRAM | CAPITAL POINT FINANCIAL GROUP, LTD. |
Identifiers
| SEC RIA File Number | 801-113136 |
|---|---|
| SEC ERA File Number | 801-113136 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171867 |
| Legal Entity Identifier | None |
Principal Office
4350 DI PAOLO CENTER - SUITE BGLENVIEW
IL
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 847-635-8435, Fax: 847-635-8432
Chief Compliance Officer
JOHN SELZER JR.
PRINCIPAL
4350 DI PAOLO CENTER - SUITE B
GLENVIEW
IL
United States
Tel:
(847) 635-8432
Fax:
(847) 635-8435
J**********@******M
(Full email address available in API data)
Regulatory Contact
BRENDAN M. KRAHL
4350 DI PAOLO CENTER - SUITE B
GLENVIEW
IL
United States
Tel:
(847) 635-8435
Fax:
(847) 635-8432
B************@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SELZER, JOHN, MICHAEL | Individual | – | PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 06/2014 | > 75% |