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CAPITAL FINANCIAL GROUP, INC.

dba CAPITAL FINANCIAL GROUP, INC. · CRD 111709 · Registered Investment Adviser

CAPITAL FINANCIAL GROUP, INC. is a Registered Investment Adviser headquartered in LITTLETON, CO. The firm reports $237,367,874 in regulatory assets under management across 667 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$219,479,289
Non-discretionary$17,888,585
Total RAUM$237,367,874
Accounts667

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 111709. adviserinfo.sec.gov/firm/summary/111709.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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