CAPITAL GROWTH & SHELTER, INC.
Adviser information for CAPITAL GROWTH & SHELTER, INC. last updated from Form ADV on March 27th, 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 | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 181 | $33.3M |
| Total | 181 | $33.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 176 | $24.7M |
| HNW Individuals | 5 | $8.6M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-79630 |
|---|---|
| SEC ERA File Number | 801-79630 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126092 |
| Legal Entity Identifier | None |
Principal Office
66 FIELDSTONE DRIVEGANSEVOORT
NY
United States
MONDAY - THURSDAY, 9:00 AM - 4:00PM
Tel: 518-399-3372, Fax: None
Websites
Chief Compliance Officer
KENNETH L HOOKER
PRESIDENT
66 FIELDSTONE DRIVE
GANSEVOORT
NY
United States
Tel:
518-399-3372
Fax:
518-384-0390
K*************@*****************M
(Full email address available in API data)
Regulatory Contact
COLLEEN TOBEY
BUSINESS MANAGER
PO BOX 226
BALLSTON SPA
NY
United States
Tel:
518-399-3372
C************@*****************M
(Full email address available in API data)
Industry Affiliates
| CGS ACCOUNTING | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOOKER, KENNETH, LARRY | Individual | – | PRESIDENT & CCO | 08/1988 | > 75% |
| TOBEY, COLLEEN | Individual | – | BUSINESS MANAGER | 10/2021 | < 5% |