CAP STRAT
CAPITAL STRATEGIES INVESTMENT GROUP LLC Legal Name
Adviser information for CAP STRAT last updated from Form ADV on March 22nd, 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 | Delaware, United States |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 1,569 | $4.9B |
| Non-Discretionary | 531 | $14.2B |
| Total | 2,100 | $19.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 35 | $20.1M |
| HNW Individuals | 182 | $691.3M |
| Banking or thrift institutions | <5 | $53.4M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 105 | $16.5B |
| Charitable organizations | 9 | $91.8M |
| 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 | 15 | $1.8B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-70212 |
|---|---|
| SEC ERA File Number | 801-70212 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 150091 |
| Legal Entity Identifier | None |
Principal Office
ONE PARKVIEW PLAZASUITE 620
OAKBROOK TERRACE
IL
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 630-320-5100, Fax: 630-320-5107
Chief Compliance Officer
BARBARA BEST
MANAGING MEMBER
ONE PARKVIEW PLAZA
SUITE 620
OAKBROOK TERRACE
IL
United States
Tel:
630-320-5100
Fax:
630-320-5107
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 |
|---|---|---|---|---|---|
| BEST, BARBARA, JEAN | Individual | – | MANAGING MEMBER | 06/2009 | 25-50% |
| RIZZUTO, NANCY, MARIE | Individual | – | MANAGING MEMBER | 06/2009 | 10-25% |
| BETTONVILLE, ALISON, ANNE | Individual | – | MEMBER | 01/2015 | < 5% |
| RAREY, MICHAEL, ADRIAN | Individual | – | MEMBER | 01/2016 | < 5% |
| WARFORD, MICHAEL, ALAN | Individual | – | MEMBER | 01/2018 | < 5% |
| DAVIES, NEIL, ANTHONY | Individual | – | MEMBER | 01/2021 | < 5% |
| BEST, BARBARA, JEAN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2024 | 25-50% |
| THE WILLIAM F. WOODALL AND JANET M. WOODALL LIVING TRUST | Domestic Entity | – | SHAREHOLDER | 02/2024 | 50-75% |
| WOODALL, JANET, MARIE | Individual | THE WILLIAM F. WOODALL AND JANET M. WOODALL LIVING TRUST | TRUSTEE | 09/2022 |