CAPITAL FINANCIAL SERVICES LLC
Adviser information for CAPITAL FINANCIAL SERVICES LLC last updated from Form ADV on January 23rd, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 484 | $127.6M |
| Non-Discretionary | 0 | $0 |
| Total | 484 | $127.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 215 | $127.6M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-57725 |
|---|---|
| SEC ERA File Number | 801-57725 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107960 |
| Legal Entity Identifier | None |
Principal Office
855 ROUTE 146SUITE 180
CLIFTON PARK
NY
United States
BY APPOINTMENT, BY APPOINTMENT
Tel: 518-399-3903, Fax: 518-399-4303
Chief Compliance Officer
WILLIAM J. JEROME
EXECUTIVE VICE PRESIDENT
855 ROUTE 146
SUITE 180
CLIFTON PARK
NY
United States
Tel:
(518) 399-3903
Fax:
(518) 399-4303
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 |
|---|---|---|---|---|---|
| Laska, Cherry, Gayle | Individual | – | PRINCIPAL | 01/2023 | < 5% |
| Jerome, William, Joseph | Individual | – | EXECUTIVE VICE PRESIDENT | 11/2022 | > 75% |
| Jerome, William, Joseph | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | > 75% |