THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC
Adviser information for THE CAPITAL GROUP INVESTMENT ADVISORY SERVICES, LLC last updated from Form ADV on March 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 | Florida, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 11 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 773 | $1.2B |
| Non-Discretionary | 8 | $157,898 |
| Total | 781 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 213 | $59.8M |
| HNW Individuals | 59 | $128.7M |
| 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 | 167 | $975.1M |
| 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 | <5 | $19.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
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)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-78844 |
|---|---|
| SEC ERA File Number | 801-78844 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 169727 |
| Legal Entity Identifier | None |
Principal Office
6720-B ROCKLEDGE DRIVESUITE 400
BETHESDA
MD
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: (301) 214-7666, Fax: (888) 569-3027
Chief Compliance Officer
L. KIM ESTRADA
6720-B
SUITE 400
BETHESDA
MD
United States
Tel:
813-934-2743
K**********@**********************M
(Full email address available in API data)
Regulatory Contact
CHRIS STAUB
VICE PRESIDENT
6720-B
SUITE 400
BETHESDA
MD
United States
Tel:
301-214-7666
C**********@********************M
(Full email address available in API data)
Industry Affiliates
| ARMFIELD HARRISON & THOMAS LLC | Insurance company or agency |
| BALDWIN KRYSTYN SHERMAN PARTNERS, LLC | Insurance company or agency |
| BKS RETIREMENT SERVICES | Other investment adviser, including financial planners |
| BRP SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| BURNHAM BENEFITS INSURANCE SERVICES, LLC | Insurance company or agency |
| BURNHAM GIBSON WEALTH ADVISORS, LLC | Other investment adviser, including financial planners |
| INSGROUP, 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 |
|---|---|---|---|---|---|
| STAUB, CHRISTOPHER, MICHAEL | Individual | – | VICE PRESIDENT | 08/2021 | < 5% |
| ESTRADA, LISA, KIM | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |
| BRP FINANCIAL SERVICES HOLDINGS, LLC | Domestic Entity | – | OWNER | 08/2021 | > 75% |
| BALDWIN KRYSTYN SHERMAN PARTNERS, LLC | Domestic Entity | BRP FINANCIAL SERVICES HOLDINGS, LLC | INDIRECT OWNER | 08/2021 | > 75% |
| BRP MIDDLE MARKET INSURANCE HOLDINGS, LLC | Domestic Entity | BALDWIN KRYSTYN SHERMAN PARTNERS, LLC | INDIRECT OWNER | 08/2021 | > 75% |
| BALDWIN RISK PARTNERS, LLC | Domestic Entity | BRP MIDDLE MARKET INSURANCE HOLDINGS, LLC | INDIRECT OWNER | 08/2021 | > 75% |
| BALDWIN INSURANCE GROUP HOLDINGS, LLC | Domestic Entity | BALDWIN RISK PARTNERS, LLC | INDIRECT OWNER | 08/2021 | 25-50% |
| BRP GROUP, INC. | Domestic Entity | BALDWIN RISK PARTNERS, LLC | INDIRECT OWNER | 08/2021 | 25-50% |
| BALDWIN, TREVOR, LOWRY | Individual | – | CEO/PRESIDENT | 08/2021 | < 5% |
| HALE, BRADFORD, LENZIE | Individual | – | CHIEF FINANCIAL OFFICER | 08/2021 | < 5% |