CAPITAL GAINS INCORPORATED
CAPITAL GAINS INC Legal Name
Adviser information for CAPITAL GAINS INCORPORATED last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Illinois, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 8 | $100.9M |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $100.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 8 | $8.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 5 | $92.0M |
| 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 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-41787 |
|---|---|
| SEC ERA File Number | 801-41787 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111717 |
| Legal Entity Identifier | None |
Principal Office
8060 W. OAKTON STREET, SUITE 102NILES
IL
United States
Monday - Friday, 8:30A.M. TO 5:00P.M.
Tel: 847-318-9975, Fax: 847-318-9958
Websites
Chief Compliance Officer
GARY KARSHNA
PRESIDENT
8060 W. OAKTON STREET, SUITE 102
NILES
IL
United States
Tel:
847-318-9975
G*******@*********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 |
|---|---|---|---|---|---|
| KARSHNA, GARY | Individual | – | PRESIDENT, TREASURER, DIRECTOR | 02/1992 | > 75% |
| KARSHNA, GARY | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2004 | > 75% |