CAPSTONE FINANCIAL ADVISORS INC

RIASEC RegisteredEst. 1999

Total AUM

$2.9B

Discretionary

$2.9B

100% of AUM

Avg account

$687K

Accounts

4,173

Employees

Advisory reps

Firm details

Headquarters: DOWNERS GROVE, Illinois
CRD number: 109341
Registered since: November 16, 1999
Website: www.capstone-advisors.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: HNWI90.45%
Individuals9.19%
Pension & Profit Sharing Plans0.25%
Charitable Organizations0.11%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Capstone Financial Advisors Inc. is an independent registered investment adviser that has been SEC-registered since 1999 and is owned by an individual. The firm acts as a capital allocator to client portfolios and serves both individual & family clients and institutional investors. Its advisory services include financial planning, portfolio management for individuals and small businesses, pension consulting, and selection of other advisers. Fee arrangements are flexible and include percentage-of-AUM billing as well as hourly, fixed-fee, and other structures. The firm reports it is not an active ESG investor and, by its self-classification, is not a multi-state adviser. Capstone has been recognized in industry rankings, appearing on Financial Times’ Top 300 RIA Firms (2020), FA Magazine’s Top RIA Firms (2020), and CNBC’s Top 100 Financial Advisory Firms (2022). Custody is concentrated at Charles Schwab & Co., Inc., where nearly all reported assets are held.