{"url":"https://nivawealth.com/firms/capstone-capital-123764","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123764","regulatoryAum":408417345,"crd":"123764","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5609082","suffix":null,"lastName":"CORRIE","firstName":"ADAM","middleName":"MOISSON"},{"crd":"7123186","suffix":null,"lastName":"Cress","firstName":"Adam","middleName":"McNitt"},{"crd":"4302052","suffix":null,"lastName":"DAWSON","firstName":"ADAM","middleName":"MORONI"},{"crd":"1440782","suffix":null,"lastName":"LEAVITT","firstName":"RONALD","middleName":"KAY"},{"crd":"7612182","suffix":null,"lastName":"Sorenson","firstName":"Eric","middleName":"Edgar"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-06-24","regulatoryAum":285362000,"clients":284,"employees":7,"offices":1},{"filedOn":"2022-02-01","regulatoryAum":339178819,"clients":361,"employees":8,"offices":1},{"filedOn":"2023-07-11","regulatoryAum":313832667,"clients":324,"employees":5,"offices":1},{"filedOn":"2024-04-16","regulatoryAum":321304384,"clients":253,"employees":5,"offices":1},{"filedOn":"2025-03-13","regulatoryAum":360484106,"clients":201,"employees":6,"offices":1},{"filedOn":"2026-07-07","regulatoryAum":408417345,"clients":200,"employees":5,"offices":1}],"secFileNumber":"801-108040","legalName":"Capstone Capital LLC","displayName":"Capstone Capital","slug":"capstone-capital-123764","website":"https://capstonecap.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/2829845/","founded":"2002","organization":"Nevada limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2600 Paseo Verde Parkway, Ste. 150","city":"Henderson","state":"NV","stateName":"Nevada","country":"United States","postalCode":"89074-7167"},"tradeNames":["Capstone Capital Wealth Advisors"],"registration":{"secApproved":"4 August 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AMENDMENT V.02.24.26"},{"role":"other","program":"Non-advisory work","summary":"Up to $500 per hour for work not related to investment advisory services, charged to clients who do not receive advisory services.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011465","versionId":1011465,"submittedOn":"2026-02-24","documentName":"CAPSTONE CAPITAL WEALTH ADVISORS ADV PART 2A ANNUAL AMENDMENT V.02.24.26"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:50:11.253279+00:00","documents":[{"name":"CAPSTONE CAPITAL WEALTH ADVISORS ADV PART 2A ANNUAL AMENDMENT V.02.24.26","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1011465","versionId":1011465,"submittedOn":"2026-02-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":407898007}],"custodyNote":"Capstone Capital has custody of $168M in client assets for 131 clients.","otherCustodians":[],"leadership":[{"name":"Adam Corrie","title":"CCO / Director of Operations","crd":"5609082"},{"name":"Adam Dawson","title":"CEO","crd":"4302052"}],"ownership":[{"label":"Dawson Holdings LLC","detail":"Owner in the 75% or more ownership band and a control person, since December 2021."},{"label":"Adam Dawson","detail":"Indirect owner: a managing member of Dawson Holdings LLC in the 75% or more band and a control person, since December 2021.","parent":"Dawson Holdings LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Nevada","offices":1,"addresses":[{"street":"2600 Paseo Verde Parkway, Ste. 150","city":"Henderson","headquarters":true}]}],"brochureServices":["business succession planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"702-433-7588","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":21},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by registered investment companies or business development companies","percent":64},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"7 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/123764/PDF/123764.pdf","brochureDate":"24 February 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They include 106 individual clients, 92 high-net-worth individuals and 1 banking or thrift institution.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capstone Capital offer?","answer":"Capstone Capital provides financial planning, portfolio management for individuals and small businesses, business succession planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Capstone Capital charge?","answer":"Capstone Capital charges 0.50%–1.00% a year for its Investment Management Fees. Each asset band is charged at its own rate. The fee is billed in arrears, has a $10,000 annual minimum and requires an account of at least $1,000,000.","source":"CAPSTONE CAPITAL WEALTH ADVISORS ADV PART 2A ANNUAL AMENDMENT V.02.24.26, filed 24 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Capstone Capital use?","answer":"Capstone Capital’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $408M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capstone Capital have?","answer":"Capstone Capital has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Capstone Capital invest in?","answer":"At the end of its last fiscal year, Capstone Capital’s separately managed accounts held 64% registered funds (mutual funds, ETFs, BDCs), 21% state and local bonds, 6% cash and equivalents, 4% exchange-traded equities, 3% U.S. government and agency bonds and 2% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Capstone Capital have a minimum investment?","answer":"Yes, Capstone Capital’s minimum account size for its Investment Management Fees is $1M. It charges a $10K annual minimum fee.","source":"CAPSTONE CAPITAL WEALTH ADVISORS ADV PART 2A ANNUAL AMENDMENT V.02.24.26, filed 24 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Capstone Capital?","answer":"Capstone Capital is owned through a holding company by Adam Dawson. Its direct owner is Dawson Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capstone Capital get paid?","answer":"Capstone Capital is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Capstone Capital?","answer":"Capstone Capital’s main office is at 2600 Paseo Verde Parkway, Ste. 150, Henderson, NV 89074-7167. Its phone number is 702-433-7588. Its website is capstonecap.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/capstone-capital-123764/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-22","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1993327/000121465926008786/0001214659-26-008786-index.html","totalValue":175080684,"positionCount":26,"top10Share":0.9704839170036599,"top10":[{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"US COR EQU 2 ETF","cusip":"25434V708","value":83096660,"shares":1873234,"shareType":"SH","priorValue":71473682,"priorShares":1839261},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"INTL CORE EQUITY","cusip":"25434V799","value":39701387,"shares":1065523,"shareType":"SH","priorValue":37449970,"priorShares":1054038},{"issuer":"DIMENSIONAL ETF TRUST","titleOfClass":"EMERGING MKTS 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}