CAPITAL FINANCIAL GROUP, INC.
Adviser information for CAPITAL FINANCIAL GROUP, INC. last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 595 | $176.8M |
| Non-Discretionary | 61 | $19.6M |
| Total | 656 | $196.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 190 | $57.8M |
| HNW Individuals | 55 | $126.7M |
| 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 | $11.8M |
| Charitable organizations | 0 | $0 |
| 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 | <5 | $136,849 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-117272 |
|---|---|
| SEC ERA File Number | 801-117272 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111709 |
| Legal Entity Identifier | None |
Principal Office
8400 E. PRENTICE AVE., SUITE 1100GREENWOOD VILLAGE
CO
United States
Monday - Friday, 7:30 A.M. - 4:30 P.M.
Tel: 303-629-7500, Fax: 303-629-7560
Chief Compliance Officer
ALEXANDER LEONIDA
CHIEF EXECUTIVE OFFICER
8400 E. PRENTICE AVE., SUITE 1100
GREENWOOD VILLAGE
CO
United States
Tel:
303-629-7500
Fax:
303-629-7560
A***@***********************M
(Full email address available in API data)
Regulatory Contact
LEAH KAUTZ
OPERATIONS MANAGER
8400 E. PRENTICE AVE., SUITE 1100
GREENWOOD VILLAGE
CO
United States
Tel:
303-629-7500
Fax:
303-629-7560
L***@***********************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 |
|---|---|---|---|---|---|
| LEONIDA, ALEXANDER, ADRIAN | Individual | – | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | 01/2021 | > 75% |