CAPITAL ADVISORS GROUP, INC
Adviser information for CAPITAL ADVISORS GROUP, INC last updated from Form ADV on March 31st, 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 | Delaware, United States |
Employees
| Total Number of Employees | 29 |
|---|---|
| Investment Advisory/Research | 21 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| 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 | 266 | $25.9B |
| Non-Discretionary | 1 | $759 |
| Total | 267 | $25.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 5 | $66.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $83.1M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 154 | $25.7B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 6 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshopsSECURITIES AND MONEY MARKET FUND CONSULTING AND RESEARCH. |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesA MINIMUM FEE OF UP TO $625.00 PER QUARTER MAY BE CHARGED. |
| Other Business Activities | DEBT FINANCING CONSULTING |
Identifiers
| SEC RIA File Number | 801-60262 |
|---|---|
| SEC ERA File Number | 801-60262 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 112000 |
| Legal Entity Identifier | 254900B59S0EVCTCZU71 |
Principal Office
1 FEDERAL STREETSUITE 2200
BOSTON
MA
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 617-630-8100, Fax: 617-630-0023
Websites
Chief Compliance Officer
KARI TONEY
CHIEF COMPLIANCE OFFICER
1 FEDERAL STREET
SUITE 2200
BOSTON
MA
United States
Tel:
617-630-8100
Fax:
617-630-0023
K*****@******************M
(Full email address available in API data)
Regulatory Contact
STEPHEN R. SALEMI
PRESIDENT & COO
1 FEDERAL STREET
SUITE 2200
BOSTON
MA
United States
Tel:
617-630-8100
Fax:
617-630-0023
S******@******************M
(Full email address available in API data)
Industry Affiliates
| CAPITAL ADVISORS GROUP, INC. | Sponsor, GP, manager of pooled investment vehicles |
| CFO, MARITIME DEFENSE SYSTEMS; DIRECTOR, CAPITAL ADVISORS GROUP | Accountant or accounting firm |
| CHIEF COMPLIANCE OFFICER, CAPITAL ADVISORS GROUP | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAMPBELL, BENJAMIN, KLOPP | Individual | – | CEO | 06/1991 | < 5% |
| SALEMI, STEPHEN, RICHARD | Individual | – | PRESIDENT & CHIEF OPERATING OFFICER | 03/2015 | 5-10% |
| TONEY, KARI, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2006 | < 5% |
| CAMPBELL FAMILY 1998 IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 11/1998 | 25-50% |
| CAMPBELL, KARYN, WEBB | Domestic Entity | CAMPBELL FAMILY 1998 IRREVOCABLE TRUST | TRUSTEE | 11/1998 | 25-50% |
| KNOX, JR., NORTHRUP, R. | Domestic Entity | CAMPBELL FAMILY 1998 IRREVOCABLE TRUST | TRUSTEE | 11/1998 | 25-50% |
| PHILLIPS III, ASA, E. | Domestic Entity | CAMPBELL FAMILY 1998 IRREVOCABLE TRUST | TRUSTEE | 11/1998 | 25-50% |
| HOGAN, MARK, LAWRENCE | Individual | – | DIRECTOR | 11/2009 | < 5% |
| CAMPBELL, BENJAMIN, KLOPP | Individual | BENJAMIN K. CAMPELL TRUST OF 2011 | TRUSTEE | 12/2011 | 25-50% |
| BENJAMIN K. CAMPBELL TRUST OF 2011 | Domestic Entity | – | OWNER | 07/2011 | 10-25% |
| CAMPBELL FAMILY 2019 IRREVOCABLE TRUST | Domestic Entity | – | OWNER | 12/2019 | 10-25% |