CAPITAL FINANCIAL PLANNERS
CAPITAL FINANCIAL PLANNERS, LLC Legal Name
Adviser information for CAPITAL FINANCIAL PLANNERS last updated from Form ADV on March 26th, 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 | Oregon, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 550 | $215.9M |
| Non-Discretionary | 0 | $0 |
| Total | 550 | $215.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 141 | $72.4M |
| HNW Individuals | 75 | $133.9M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $1.5M |
| 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 | $8.1M |
| 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 | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 159.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PACIFIC FINANCIAL GROUP PLATFORM | THE PACIFIC FINANCIAL GROUP, INC. |
| FIRST AFFIRMATIVE FINANCIAL NETWORK PLATFORM | FIRST AFFIRMATIVE FINANCIAL NETWORK LLC |
| ASSETMARK PLATFORM | ASSETMARK, INC. |
Identifiers
| SEC RIA File Number | 801-119386 |
|---|---|
| SEC ERA File Number | 801-119386 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310168 |
| Legal Entity Identifier | None |
Principal Office
1640 LIBERTY ST SESALEM
OR
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 503-585-1067, Fax: None
Chief Compliance Officer
BARRIGAN NELSON
PRINCIPAL
1640 LIBERTY ST SE
SALEM
OR
United States
Tel:
503-585-1067
B****@**********M
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
COMPLIANCE COUNSEL
6650 SW REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************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 |
|---|---|---|---|---|---|
| NELSON, BARRIGAN, WILLIAM | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 01/2007 | > 75% |
| CAMPBELL, CHAD, S. | Individual | – | MANAGING MEMBER | 01/2016 | 10-25% |