Hedge Fund Database

CAPSTONE FINANCIAL ADVISORS INC

Adviser information for CAPSTONE FINANCIAL ADVISORS 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 Illinois, United States

Employees

Total Number of Employees 31
Investment Advisory/Research 25
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 9
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 3,153 $2.1B
Non-Discretionary 6 $6.5M
Total 3,159 $2.1B

Clients

Type Number RAUM
Individuals 300 $121.3M
HNW Individuals 362 $2.0B
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 6 $9.1M
Charitable organizations <5 $2.6M
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 5
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)
Compensation % of AUMHourly chargesFixed feesFIXED QUARTERLY RETAINERS

Identifiers

SEC RIA File Number 801-56979
SEC ERA File Number 801-56979
SEC CIK Numbers 1599217
SEC CRD Numbers 109341
Legal Entity Identifier None

Principal Office

2001 BUTTERFIELD ROAD
SUITE 1750
DOWNERS GROVE
IL
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 630-241-0833, Fax: 630-241-0834

Websites

www.capstone-advisors.com

Chief Compliance Officer

DREW A. AHRENS
2001 BUTTERFIELD ROAD
SUITE 1750
DOWNERS GROVE
IL
United States
Tel: 630-541-1559
Fax: 630-241-0834
(Full email address available in API data)

Regulatory Contact

TROY E. BUTE
SENIOR WEALTH ADVISOR, PARTNER
2001 BUTTERFIELD ROAD
SUITE 1750
DOWNERS GROVE
IL
United States
Tel: 630-241-0833
Fax: 630-241-0834
(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
BUTE, TROY, E. Individual – PRESIDENT/DIRECTOR 01/2018 25-50%
MARKS, RICHARD, GIERARD Individual – SECRETARY/TREASURER 01/2018 5-10%
KOSIK, JOHN, CHARLES Individual – DIRECTOR 01/2018 5-10%
TELFORD, JASON, DWAIN Individual – DIRECTOR 01/2018 10-25%
NIKSA, BRIAN, MICHAEL Individual – SHAREHOLDER 01/2018 5-10%
VULTAGGIO, ALDO, SALVATORE Individual – SHAREHOLDER 01/2018 5-10%
AHRENS, DREW, ALAN Individual – CHIEF COMPLIANCE OFFICER 02/2024 < 5%

No. Employees, Historic

4020020202021202220232024202527 on 3/30/202027 on 6/29/202027 on 7/2/202028 on 3/31/202127 on 3/30/202227 on 9/6/202225 on 3/31/202331 on 3/27/202431 on 3/27/2024

RAUM, Historic

3B2B02020202120222023202420251642503881 on 3/30/20201642503881 on 6/29/20201642503881 on 7/2/20201836630941 on 3/31/20212098963697 on 3/30/20222098963697 on 9/6/20221824854507 on 3/31/20232116697964 on 3/27/20242116697964 on 3/27/2024

No. Clients, Historic

7003500202020212022202320242025506 on 3/30/2020506 on 6/29/2020506 on 7/2/2020521 on 3/31/2021566 on 3/30/2022566 on 9/6/2022628 on 3/31/2023668 on 3/27/2024668 on 3/27/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 355K 3K –
ABBVIE INC COM 559K 3K –
ABRDN ASIA PACIFIC INCOME FU COM 51K 19K –
ACCENTURE PLC IRELAND SHS CLASS A 2M 6K –
ADAMS DIVERSIFIED EQUITY FD COM 826K 38K –
ADVANCED MICRO DEVICES INC COM 278K 2K –
ALASKA AIR GROUP INC COM 645K 16K –
ALLSTATE CORP COM 250K 2K –
ALPHABET INC CAP STK CL A 1M 6K –
ALPHABET INC CAP STK CL C 365K 2K –
AMAZON COM INC COM 8M 41K –
AMC ENTMT HLDGS INC CL A NEW 54K 11K –
AMERICAN CENTY ETF TR REAL ESTATE ETF 12M 295K –
AMGEN INC COM 602K 2K –
APPLE INC COM 34M 160K –
ARCHER DANIELS MIDLAND CO COM 348K 6K –
ARROW ELECTRS INC COM 290K 2K –
AT&T INC COM 279K 15K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 4K –
BOEING CO COM 429K 2K –
BRISTOL-MYERS SQUIBB CO COM 933K 22K –
BROADCOM INC COM 291K 181 –
BYLINE BANCORP INC COM 377K 16K –
CARMAX INC COM 367K 5K –
CATERPILLAR INC COM 935K 3K –
CBOE GLOBAL MKTS INC COM 1M 6K –
CHEVRON CORP NEW COM 488K 3K –
CHIPOTLE MEXICAN GRILL INC COM 1M 16K –
CINEVERSE CORP COM CL A 9K 10K –
CME GROUP INC COM 4M 20K –
COCA COLA CO COM 1M 17K –
COLGATE PALMOLIVE CO COM 492K 5K –
COMPASS INC CL A 36K 10K –
COSTCO WHSL CORP NEW COM 3M 4K –
CROWDSTRIKE HLDGS INC CL A 525K 1K –
CSX CORP COM 254K 8K –
DARDEN RESTAURANTS INC COM 1M 7K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 1M 45K –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 546K 21K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 1M 33K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 168M 5M –
DIMENSIONAL ETF TRUST WORLD EX US CORE 73M 3M –
DISNEY WALT CO COM 345K 3K –
DOUBLELINE INCOME SOLUTIONS COM 428K 34K –
DOUBLELINE YIELD OPPORTUNITI COM 381K 24K –
EA SERIES TRUST STRIVE 500 ETF 393K 11K –
EATON CORP PLC SHS 2M 5K –
ELASTIC N V ORD SHS 510K 4K –
ELI LILLY & CO COM 626K 692 –
ENERGY TRANSFER L P COM UT LTD PTN 195K 12K –
ENTERPRISE PRODS PARTNERS L COM 254K 9K –
EXXON MOBIL CORP COM 1M 13K –
FAIR ISAAC CORP COM 277K 186 –
FIFTH THIRD BANCORP COM 843K 23K –
FIGS INC CL A 53K 10K –
FLEXSHARES TR M STAR DEV MKT 35M 506K –
FLEXSHARES TR MORNSTAR USMKT 33M 164K –
FLEXSHARES TR STOXX GLOBR INF 94M 2M –
FORD MTR CO DEL COM 389K 31K –
FRANKLIN TEMPLETON DIGITAL H BITCOIN ETF SHS 301K 9K –
GE AEROSPACE COM NEW 296K 2K –
GENERAL MLS INC COM 1M 21K –
GODADDY INC CL A 279K 2K –
GRAINGER W W INC COM 6M 6K –
GRUPO TELEVISA S A B SPON ADR REP ORD 111K 40K –
GULF RES INC COM 21K 20K –
HERTZ GLOBAL HLDGS INC COM NEW 71K 20K –
HOME DEPOT INC COM 350K 1K –
HONEYWELL INTL INC COM 230K 1K –
INTEL CORP COM 779K 25K –
INTERCONTINENTAL EXCHANGE IN COM 715K 5K –
INTERNATIONAL BUSINESS MACHS COM 876K 5K –
INVESCO QQQ TR UNIT SER 1 1M 2K –
ISHARES S&P GSCI COMMODITY- UNIT BEN INT 213K 10K –
ISHARES TR BLACKROCK ULTRA 565K 11K –
ISHARES TR CORE INTL AGGR 7M 142K –
ISHARES TR CORE MSCI INTL 247K 4K –
ISHARES TR CORE MSCI TOTAL 70M 1M –
ISHARES TR CORE S&P MCP ETF 203K 3K –
ISHARES TR CORE S&P SCP ETF 299K 3K –
ISHARES TR CORE S&P TTL STK 19M 163K –
ISHARES TR CORE S&P500 ETF 717K 1K –
ISHARES TR CORE US AGGBD ET 9M 93K –
ISHARES TR GLB INFRASTR ETF 812K 17K –
ISHARES TR GLOBAL REIT ETF 19M 830K –
ISHARES TR NATIONAL MUN ETF 2M 19K –
ISHARES TR RUS 1000 ETF 205M 689K –
ISHARES TR RUS 1000 GRW ETF 39M 108K –
ISHARES TR RUSSELL 2000 ETF 5M 25K –
ISHARES TR RUSSELL 3000 ETF 714K 2K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 559K 10K –
J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 610K 12K –
JOHNSON & JOHNSON COM 1M 9K –
JOINT CORP COM 169K 12K –
JPMORGAN CHASE & CO. COM 11M 53K –
LAM RESEARCH CORP COM 369K 347 –
LAMB WESTON HLDGS INC COM 1M 12K –
LOANDEPOT INC COM CL A 41K 25K –
LUMEN TECHNOLOGIES INC COM 199K 181K –
LYFT INC CL A COM 160K 11K –
MARATHON PETE CORP COM 330K 2K –
MASTERCARD INCORPORATED CL A 354K 802 –
MCDONALDS CORP COM 57M 223K –
MCDONALDS CORP PUT 306K – –
MERCK & CO INC COM 1M 10K –
META PLATFORMS INC CL A 1M 2K –
MICROSOFT CORP COM 6M 14K –
MICROSTRATEGY INC CL A NEW 744K 540 –
NETFLIX INC COM 314K 466 –
NOODLES & CO COM CL A 40K 25K –
NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 377K 15K –
NUVEEN S&P 500 BUY-WRITE INC COM 357K 26K –
NVIDIA CORPORATION COM 5M 42K –
PALANTIR TECHNOLOGIES INC CL A 341K 13K –
PALO ALTO NETWORKS INC COM 232K 683 –
PEPSICO INC COM 623K 4K –
PFIZER INC COM 278K 10K –
PIMCO INCOME STRATEGY FD II COM 104K 15K –
PORTILLOS INC COM CL A 365K 38K –
PROCTER AND GAMBLE CO COM 528K 3K –
QUALCOMM INC COM 4M 18K –
RYANAIR HOLDINGS PLC SPONSORED ADS 233K 2K –
SCHWAB STRATEGIC TR US BRD MKT ETF 497K 8K –
SELECT SECTOR SPDR TR ENERGY 206K 2K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 270K 2K –
SPDR INDEX SHS FDS DJ GLB RL ES ETF 3M 66K –
SPDR S&P 500 ETF TR TR UNIT 2M 4K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 9M 16K –
TESLA INC COM 834K 4K –
THE CIGNA GROUP COM 1M 4K –
THE ONE GROUP HOSPITALITY IN COM 43K 10K –
THOUGHTWORKS HOLDING INC COM 57K 20K –
TMC THE METALS COMPANY INC COM 14K 10K –
TRI CONTL CORP COM 2M 76K –
TRUMP MEDIA & TECHNOLOGY GRO COM 576K 18K –
UNILEVER PLC SPON ADR NEW 1M 25K –
UNITEDHEALTH GROUP INC COM 339K 666 –
VANGUARD BD INDEX FDS TOTAL BND MRKT 110M 2M –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 47M 962K –
VANGUARD INDEX FDS S&P 500 ETF SHS 820K 2K –
VANGUARD INDEX FDS TOTAL STK MKT 236M 882K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 613K 10K –
VANGUARD MUN BD FDS TAX EXEMPT BD 5M 96K –
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 227K 3K –
VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 5M 20K –
VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 4M 49K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 8M 43K –
VANGUARD STAR FDS VG TL INTL STK F 92M 2M –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 520K 11K –
VANGUARD WORLD FD ESG US STK ETF 819K 8K –
VANGUARD WORLD FD INF TECH ETF 341K 592 –
VERIZON COMMUNICATIONS INC COM 321K 8K –
VIMEO INC COMMON STOCK 37K 10K –
VINCI PARTNERS INVTS LTD COM CL A 109K 10K –
VISA INC COM CL A 217K 828 –
WALGREENS BOOTS ALLIANCE INC COM 1M 107K –
WISDOMTREE TR YIELD ENHANCD US 538K 13K –
ZEVIA PBC CL A 44K 65K –