Hedge Fund Database

THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC

Adviser information for THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC last updated from Form ADV on February 14th, 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 Minnesota, United States

Employees

Total Number of Employees 6
Investment Advisory/Research 5
Registered Broker-Dealer Representatives 5
Registered State Investment Advisers 5
Licensed Agents of an Insurance Company 5
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,132 $277.1M
Non-Discretionary 0 $0
Total 1,132 $277.1M

Clients

Type Number RAUM
Individuals 435 $107.1M
HNW Individuals 64 $168.8M
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 $0
Charitable organizations 1 $1.2M
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 6
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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshopsESTATE PLAN SETTLEMENT SERVICES
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-69464
SEC ERA File Number 801-69464
SEC CIK Numbers 1803229
SEC CRD Numbers 140551
Legal Entity Identifier None

Principal Office

5270 WEST 84TH STREET
SUITE 310
BLOOMINGTON
MN
United States
Monday - Friday, 9:00 A.M. - 4:00 P.M.
Tel: 952-831-8243, Fax: 952-831-5563

Websites

www.brettmachtig.com/ www.cagcos.com/

Chief Compliance Officer

MICHAEL J. RUGGIERI
5270 WEST 84TH STREET
SUITE 310
BLOOMINGTON
MN
United States
Tel: 952-831-8243
Fax: 952-831-5563
(Full email address available in API data)

Regulatory Contact

BRETT ALLEN MACHTIG
MANAGING MEMBER
5270 WEST 84TH STREET
SUITE 310
BLOOMINGTON
MN
United States
Tel: 952-831-8243
Fax: 952-831-5563
(Full email address available in API data)

Industry Affiliates

FOREMAN & AIRHART, LTD. Accountant or accounting firm
MACHTIG AND ASSOCIATES INSURANCE SERVICES, LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
MACHTIG, BRETT, ALLEN Individual – MANAGING MEMBER 07/2008 > 75%
RUGGIERI, MICHAEL, JOSEPH Individual – CHIEF COMPLIANCE OFFICER 03/2023 < 5%

No. Employees, Historic

105020192020202120222023202420258 on 11/26/20198 on 1/14/20209 on 4/1/20209 on 5/4/20209 on 5/20/20209 on 6/18/20209 on 11/6/20209 on 3/29/20219 on 8/5/20219 on 9/13/20219 on 11/11/20219 on 11/24/20216 on 3/14/20226 on 4/18/20226 on 9/22/20226 on 3/20/20236 on 7/10/20236 on 2/14/2024

RAUM, Historic

600M300M02019202020212022202320242025379594454 on 11/26/2019379594454 on 1/14/2020466155098 on 4/1/2020466155098 on 5/4/2020466155098 on 5/20/2020466155098 on 6/18/2020466155098 on 11/6/2020510334307 on 3/29/2021510334307 on 8/5/2021510334307 on 9/13/2021510334307 on 11/11/2021510334307 on 11/24/2021362465371 on 3/14/2022362465371 on 4/18/2022362465371 on 9/22/2022335841821 on 3/20/2023335841821 on 7/10/2023277106729 on 2/14/2024

No. Clients, Historic

1,00050002019202020212022202320242025860 on 11/26/2019860 on 1/14/2020887 on 4/1/2020887 on 5/4/2020887 on 5/20/2020887 on 6/18/2020887 on 11/6/2020963 on 3/29/2021963 on 8/5/2021963 on 9/13/2021963 on 11/11/2021963 on 11/24/2021590 on 3/14/2022590 on 4/18/2022590 on 9/22/2022785 on 3/20/2023785 on 7/10/2023506 on 2/14/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 291K 3K –
ABBOTT LABS COM 425K 4K –
ABBVIE INC COM 1M 8K –
ACCENTURE PLC IRELAND SHS CLASS A 382K 1K –
ADOBE INC COM 661K 1K –
ADVANCED MICRO DEVICES INC COM 761K 5K –
ALLSTATE CORP COM 917K 6K –
ALPHABET INC CAP STK CL C 2M 10K –
ALPS ETF TR ALERIAN ENERGY 210K 8K –
ALTRIA GROUP INC COM 2M 33K –
AMAZON COM INC COM 2M 12K –
AMCOR PLC ORD 128K 13K –
AMGEN INC COM 803K 3K –
AMPLIFY ETF TR CWP ENHANCED DIV 2M 40K –
ANALOG DEVICES INC COM 313K 1K –
APPLE INC COM 3M 15K –
ARISTA NETWORKS INC COM 210K 600 –
ASML HOLDING N V N Y REGISTRY SHS 516K 505 –
AUTOZONE INC COM 622K 210 –
BANK MONTREAL MEDIUM NT LKD 38 332K 7K –
BARINGS BDC INC COM 178K 18K –
BARRICK GOLD CORP COM 291K 17K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 3M 7K –
BLOCK H & R INC COM 494K 9K –
CALAMOS ETF TR NASDAQ 100 STRUC 262K 11K –
CALAMOS ETF TR S P 500 STRUCTUR 383K 15K –
CHEVRON CORP NEW COM 3M 18K –
CISCO SYS INC COM 648K 14K –
COCA COLA CO COM 777K 12K –
COLGATE PALMOLIVE CO COM 359K 4K –
CONSTELLATION BRANDS INC CL A 348K 1K –
COSTCO WHSL CORP NEW COM 427K 502 –
DELTA AIR LINES INC DEL COM NEW 634K 13K –
DESTINATION XL GROUP INC COM 39K 11K –
DIREXION SHS ETF TR AUSPCE CMD STG 2M 83K –
DOW INC COM 1M 25K –
EBAY INC. COM 227K 4K –
ECOLAB INC COM 246K 1K –
ELI LILLY & CO COM 3M 4K –
ENERGY TRANSFER L P COM UT LTD PTN 716K 44K –
ENTERPRISE PRODS PARTNERS L COM 528K 18K –
ETFS GOLD TR PHYSCL GOLD SHS 2M 80K –
EXCHANGE TRADED CONCEPTS TRU ROBO GLB ETF 755K 14K –
EXXON MOBIL CORP COM 631K 5K –
FAIR ISAAC CORP COM 734K 493 –
FEDERAL AGRIC MTG CORP CL C 1M 8K –
FIDELITY COVINGTON TRUST HIGH DIVID ETF 235K 5K –
FIDELITY COVINGTON TRUST MSCI HLTH CARE I 3M 44K –
FIDUS INVT CORP COM 1M 54K –
FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 1M 45K –
FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 1M 27K –
FIRST TR EXCHANGE-TRADED FD US EQTY OPPT ETF 453K 5K –
FIRST TR EXCHNG TRADED FD VI FT VEST LADDERED 826K 29K –
FLEXSHARES TR STOX US ESG SLCT 449K 4K –
FORTINET INC COM 274K 5K –
FORTUNA MNG CORP COM NEW 129K 26K –
GENERAL DYNAMICS CORP COM 1M 4K –
GENWORTH FINL INC COM SHS 84K 14K –
GOLDMAN SACHS GROUP INC COM 906K 2K –
HERCULES CAPITAL INC COM 7M 341K –
HOME DEPOT INC COM 654K 2K –
INTEL CORP COM 728K 23K –
INTERNATIONAL BUSINESS MACHS COM 2M 9K –
INVESCO EXCHANGE TRADED FD T DIVID ACHIEVEV 2M 49K –
INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 3M 160K –
INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 447K 4K –
INVESCO EXCHANGE TRADED FD T S&P MDCP MOMNTUM 1M 10K –
INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 3M 45K –
INVESCO QQQ TR UNIT SER 1 16M 34K –
ISHARES S&P GSCI COMMODITY- UNIT BEN INT 541K 24K –
ISHARES TR 1 3 YR TREAS BD 2M 26K –
ISHARES TR CORE DIV GRWTH 240K 4K –
ISHARES TR CORE S&P MCP ETF 5M 83K –
ISHARES TR CORE US AGGBD ET 2M 24K –
ISHARES TR FLTG RATE NT ETF 6M 117K –
ISHARES TR MSCI EAFE ETF 438K 6K –
ISHARES TR MSCI USA MIN VOL 205K 2K –
ISHARES TR PFD AND INCM SEC 350K 11K –
ISHARES TR RUS TOP 200 ETF 271K 2K –
ISHARES TR RUSSELL 2000 ETF 4M 18K –
ISHARES TR SELECT DIVID ETF 3M 21K –
ISHARES TR U.S. ENERGY ETF 2M 48K –
ISHARES TR U.S. FINLS ETF 308K 3K –
ISHARES TR U.S. INSRNCE ETF 1M 12K –
ISHARES TR U.S. TECH ETF 3M 17K –
ISHARES TR US HLTHCARE ETF 507K 8K –
ISHARES U S ETF TR BLACKROCK SH DUR 648K 13K –
ISHARES U S ETF TR IT RT HDG HGYL 222K 3K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 2M 33K –
J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 328K 6K –
JOHNSON & JOHNSON COM 612K 4K –
JPMORGAN CHASE & CO. COM 983K 5K –
KROGER CO COM 749K 15K –
MASTERCARD INCORPORATED CL A 231K 523 –
MCDONALDS CORP COM 388K 2K –
META PLATFORMS INC CL A 2M 5K –
METLIFE INC COM 665K 9K –
MICRON TECHNOLOGY INC COM 209K 2K –
MICROSOFT CORP COM 4M 9K –
MONSTER BEVERAGE CORP NEW COM 242K 5K –
NETFLIX INC COM 1M 2K –
NVIDIA CORPORATION COM 6M 45K –
ORACLE CORP COM 572K 4K –
OREILLY AUTOMOTIVE INC COM 395K 374 –
PACER FDS TR US CASH COWS 100 762K 14K –
PHILLIPS 66 COM 314K 2K –
PROCTER AND GAMBLE CO COM 428K 3K –
PROSHARES TR PSHS ULTRA QQQ 709K 7K –
PUBLIC STORAGE OPER CO COM 782K 3K –
QUALCOMM INC COM 329K 2K –
RBB FD INC MOTLEY FOL ETF 5M 93K –
RTX CORPORATION COM 3M 30K –
SALESFORCE INC COM 319K 1K –
SELECT SECTOR SPDR TR ENERGY 2M 19K –
SEMPRA COM 209K 3K –
SPDR DOW JONES INDL AVERAGE UT SER 1 4M 9K –
SPDR GOLD TR GOLD SHS 4M 20K –
SPDR S&P 500 ETF TR TR UNIT 17M 32K –
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 2M 5K –
SPDR SER TR BLOOMBERG HIGH Y 455K 5K –
SPDR SER TR BLOOMBERG INVT 6M 185K –
SPDR SER TR BLOOMBERG SHT TE 610K 24K –
SPDR SER TR PORTFOLI S&P1500 12M 185K –
SPDR SER TR PORTFOLIO S&P600 1M 35K –
SPDR SER TR PORTFOLIO SHORT 793K 27K –
SPDR SER TR PRTFLO S&P500 GW 5M 62K –
SPDR SER TR PRTFLO S&P500 HI 1M 35K –
SPDR SER TR PRTFLO S&P500 VL 4M 90K –
SPDR SER TR S&P 400 MDCP VAL 298K 4K –
SPDR SER TR S&P DIVID ETF 2M 16K –
STRATEGY SHS NS 7HANDL IDX 409K 19K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 350K 2K –
TESLA INC COM 466K 2K –
TRACTOR SUPPLY CO COM 424K 2K –
TRAVELERS COMPANIES INC COM 230K 1K –
TRIPLEPOINT VENTURE GROWTH B COM 109K 14K –
UNITEDHEALTH GROUP INC COM 1M 2K –
VANGUARD BD INDEX FDS INTERMED TERM 3M 36K –
VANGUARD INDEX FDS MID CAP ETF 1M 6K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 533K 5K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 642K 8K –
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 2M 24K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 223K 2K –
VERIZON COMMUNICATIONS INC COM 1M 26K –
VISA INC COM CL A 423K 2K –
WALMART INC COM 2M 29K –
WISDOMTREE TR US TOTAL DIVIDND 2M 33K –
WP CAREY INC COM 219K 4K –
XCEL ENERGY INC COM 420K 8K –