Capstone Investment Group provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 251–500 clients last fiscal year.
Capstone Investment Group reports 819 clients. They include 718 individual clients, 90 high-net-worth individuals, and 3 pension and profit-sharing plans. Of its assets, 98.8% ($338M across 1,325 accounts) are managed with discretion; $4.26M across 3 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 88% | 50% |
| High-net-worth individuals | 11% | 46% |
| Banking or thrift institutions | <1% | 2% |
| Pension and profit-sharing plans | <1% | 1% |
| Charitable organizations | <1% | <1% |
| Other client typesInsurance companies; Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 718 | $171M | 50.0% | $239K |
| High-net-worth individuals | 90 | $159M | 46.3% | $1.76M |
| Banking or thrift institutions | Fewer than 5 | $6.39M | 1.9% | $3.19M |
| Pension and profit-sharing plans | Fewer than 5 | $4.26M | 1.2% | $1.42M |
| Charitable organizations | Fewer than 5 | $123K | 0.0% | $61.5K |
| Insurance companies | Fewer than 5 | $725K | 0.2% | $363K |
| Corporations and other businesses | Fewer than 5 | $1.16M | 0.3% | $580K |
| Total | 819 | $343M | 100% | — |
- Clients
- 718
- Regulatory AUM
- $171M
- AUM share
- 50.0%
- Avg. per client
- $239K
- Clients
- 90
- Regulatory AUM
- $159M
- AUM share
- 46.3%
- Avg. per client
- $1.76M
- Clients
- Fewer than 5
- Regulatory AUM
- $6.39M
- AUM share
- 1.9%
- Avg. per client
- $3.19M
- Clients
- Fewer than 5
- Regulatory AUM
- $4.26M
- AUM share
- 1.2%
- Avg. per client
- $1.42M
- Clients
- Fewer than 5
- Regulatory AUM
- $123K
- AUM share
- 0.0%
- Avg. per client
- $61.5K
- Clients
- Fewer than 5
- Regulatory AUM
- $725K
- AUM share
- 0.2%
- Avg. per client
- $363K
- Clients
- Fewer than 5
- Regulatory AUM
- $1.16M
- AUM share
- 0.3%
- Avg. per client
- $580K
Total
- Clients
- 819
- Regulatory AUM
- $343M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Capstone Investment Group charges up to 1.85% a year for its Standard Annual Asset Management Fees. The fee is billed in arrears, is negotiable and requires an account of at least $200,000. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Planning Fees
- Initial consultation, financial planning and monitoring are each billed at $195 an hour under an engagement agreement signed by the client and the firm.
Strategic Legacy Group, LLC owns 75% or more of Capstone Investment Group and is in turn owned by Genesis2021 (50–75%) and RFNG LLC (50–75%). The leadership team of Capstone Investment Group includes Chief Operating Officer Travis Bator. It has 13 employees, 8 of them in advisory roles.
Leadership
- Travis BatorChief Compliance Officer/Chief Operating Officer
Investment adviser representatives
7 representatives listed in the SEC register as of 9 October 2026.
- Travis Leigh Bator
- Sandra Kay Drennon
- Jonathan A Leymaster
- Donna L Monda
- Bryan William Pettit
- Ao Vang
- Jeffrey Alan Wachtman
Staff
- 13 employees
- 8 in advisory functions
- 6 state-registered reps
- 1 broker-dealer rep
- 1 insurance agent
- Owns 75% or more of Capstone Investment Group, LLC
Strategic Legacy Group, LLC
Control person · since December 2024
- Owns 50% to 75% of Strategic Legacy Group, LLC
Genesis2021
Control person · since June 2021
- Owns 50% to 75% of Strategic Legacy Group, LLC
RFNG LLC
Control person · since November 2009
Capstone Investment Group’s regulatory assets grew 3.1× from $109M (June 2021) to $343M (September 2026); clients rose from 482 to 819 and employees from 7 to 13.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $343M | 819 | 13 | 4 |
| July 2025 | $152M | 493 | 9 | 2 |
| February 2024 | $139M | 482 | 8 | 1 |
| March 2023 | $109M | 473 | 8 | 1 |
| March 2022 | $126M | 506 | 8 | 1 |
| June 2021 | $109M | 482 | 7 | 1 |
Besides its headquarters, Capstone Investment Group has 3 offices (1 private residence, listed without an address), with 3 listed addresses in Michigan, Texas and Washington.
Michigan · 1 listed address
- 22260 Haggerty RD, Northville
Texas · 1 listed address
- 2634 Kerrybrook CT., San Antonio
Washington · 1 listed address
- 2405 Evergreen Park Drive SW BLDG A, OlympiaHQ
Other business names
Capstone Investment Group has reported 4 other business names to the SEC.
- American Private Wealth
- American Wealth
- Great Lakes Private Wealth
- Great Lakes Wealth
Contact and registration details
- Legal name
- Capstone Investment Group, LLC
- Headquarters
- 2405 Evergreen Park Drive SW BLDG A, Olympia, WA 98502
- Website
- yourcapstone.com
- Phone
- 360-570-9888
- SEC file
- 801-121820
- Structure
- Washington LLC
- Fiscal year end
- December
Capstone Investment Group uses Charles Schwab ($177M, 52%) and Raymond James ($166M, 48%) as custodians for its separately managed accounts. Capstone Investment Group has custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $177M52%
- Raymond JamesRaymond James & Associates, Inc. · St. Petersburg, FL · $166M48%
At year end, Capstone Investment Group’s separately managed accounts were mostly in funds (69%) and stocks (19%).
What the accounts hold
- Stocks19%
- Funds69%
- Bonds4%
- Cash8%
How many clients does Capstone Investment Group have?
Capstone Investment Group has 819 clients and manages $343 million for them, as of September 2026. They include 718 individual clients, 90 high-net-worth individuals, and 3 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 23 September 2026
What services does Capstone Investment Group offer?
Capstone Investment Group provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Capstone Investment Group charge?
Capstone Investment Group charges up to 1.85% a year for its Standard Annual Asset Management Fees. The fee is billed in arrears, is negotiable and requires an account of at least $200,000.
Which custodians does Capstone Investment Group use?
Capstone Investment Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $177M and Raymond James & Associates, Inc. (St. Petersburg, FL), with $166M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 September 2026
How many financial advisors does Capstone Investment Group have?
Capstone Investment Group has 6 investment adviser representatives registered with state securities authorities, out of 13 employees, and 8 perform investment advisory functions. 1 employee is a registered representative of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Capstone Investment Group invest in?
At the end of its last fiscal year, Capstone Investment Group’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 19% exchange-traded equities, 8% cash and equivalents and 4% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Capstone Investment Group have a minimum investment?
Yes, Capstone Investment Group’s minimum account size for its Standard Annual Asset Management Fees is $200K.
Who owns Capstone Investment Group?
Capstone Investment Group is owned through a holding company by Genesis2021 and RFNG LLC. Its direct owner is Strategic Legacy Group, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 23 September 2026
How does Capstone Investment Group get paid?
Capstone Investment Group is paid through a percentage of assets under management and hourly charges. 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
How do I contact Capstone Investment Group?
Capstone Investment Group’s main office is at 2405 Evergreen Park Drive SW BLDG A, Olympia, WA 98502. Its phone number is 360-570-9888. Its website is yourcapstone.com.