{"url":"https://nivawealth.com/firms/capstone-investment-group-159918","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159918","regulatoryAum":342736000,"crd":"159918","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5241485","suffix":null,"lastName":"BATOR","firstName":"TRAVIS","middleName":"LEIGH"},{"crd":"2124900","suffix":null,"lastName":"DRENNON","firstName":"SANDRA","middleName":"KAY"},{"crd":"5196126","suffix":null,"lastName":"LEYMASTER","firstName":"JONATHAN","middleName":"A"},{"crd":"6512199","suffix":null,"lastName":"MONDA","firstName":"DONNA","middleName":"L"},{"crd":"5696287","suffix":null,"lastName":"PETTIT","firstName":"BRYAN","middleName":"WILLIAM"},{"crd":"6556402","suffix":null,"lastName":"VANG","firstName":"AO","middleName":null},{"crd":"1599824","suffix":null,"lastName":"WACHTMAN","firstName":"JEFFREY","middleName":"ALAN"}],"total":7,"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":"2021-06-29","regulatoryAum":109338408,"clients":482,"employees":7,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":125770519,"clients":506,"employees":8,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":108868143,"clients":473,"employees":8,"offices":1},{"filedOn":"2024-02-27","regulatoryAum":139055396,"clients":482,"employees":8,"offices":1},{"filedOn":"2025-07-02","regulatoryAum":152420481,"clients":493,"employees":9,"offices":2},{"filedOn":"2026-09-23","regulatoryAum":342736000,"clients":819,"employees":13,"offices":4}],"secFileNumber":"801-121820","legalName":"Capstone Investment Group, LLC","displayName":"Capstone Investment Group","slug":"capstone-investment-group-159918","website":"https://yourcapstone.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"2405 Evergreen Park Drive SW BLDG A","city":"Olympia","state":"WA","stateName":"Washington","country":"United States","postalCode":"98502"},"tradeNames":["American Private Wealth","American Wealth","Great Lakes Private Wealth","Great Lakes Wealth"],"registration":{"secApproved":"22 July 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":408514.85148514854,"staff":{"employees":13,"advisory":8,"brokerDealerReps":1,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":342736000,"discretionary":338474000,"discretionaryAccounts":1325,"nonDiscretionary":4262000,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":718,"regulatoryAum":171435000},{"label":"High-net-worth individuals","clients":90,"regulatoryAum":158645000},{"label":"Banking or thrift institutions","clients":2,"fewerThan5":true,"regulatoryAum":6387000},{"label":"Pension and profit-sharing plans","clients":3,"fewerThan5":true,"regulatoryAum":4261000},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":123000},{"label":"Insurance companies","clients":2,"fewerThan5":true,"regulatoryAum":725000},{"label":"Corporations and other businesses","clients":2,"fewerThan5":true,"regulatoryAum":1160000}],"feePrograms":[{"role":"main","program":"Standard Annual Asset Management Fees","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058847","versionId":1058847,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-23","documentName":"CAPSTONE FIRM BROCHURE","fee_rate_low":null,"fee_rate_high":1.85,"fee_negotiable":true,"minimum_account":200000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Planning Fees","summary":"Initial consultation, financial planning and monitoring are each billed at $195 an hour under an engagement agreement signed by the client and the firm.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058847","versionId":1058847,"submittedOn":"2026-09-23","documentName":"CAPSTONE FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:41:30.503001+00:00","documents":[{"name":"CAPSTONE FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058847","versionId":1058847,"submittedOn":"2026-09-23"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":177086000},{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":165650000}],"custodyNote":"Capstone Investment Group has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Travis Bator","title":"Chief Compliance Officer/Chief Operating Officer","crd":"5241485"}],"ownership":[{"label":"Strategic Legacy Group, LLC","detail":"Holding company in the 75% or more ownership band and a control person, since December 2024."},{"label":"Genesis2021","detail":"Indirect owner: a owner of Strategic Legacy Group, LLC in the 50% to 75% band and a control person, since June 2021.","parent":"Strategic Legacy Group, LLC"},{"label":"RFNG LLC","detail":"Indirect owner: a owner of Strategic Legacy Group, LLC in the 50% to 75% band and a control person, since November 2009.","parent":"Strategic Legacy Group, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":1},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":1,"addresses":[{"street":"22260 Haggerty RD","city":"Northville"}]},{"state":"Texas","offices":1,"addresses":[{"street":"2634 Kerrybrook CT.","city":"San Antonio"}]},{"state":"Washington","offices":1,"addresses":[{"street":"2405 Evergreen Park Drive SW BLDG A","city":"Olympia","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"360-570-9888","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":19},{"label":"U.S. government/agency bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":8}],"privateFunds":0},"sources":{"adv1FilingDate":"23 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159918/PDF/159918.pdf","brochureDate":"23 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1058847","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Capstone Investment Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capstone Investment Group offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Capstone Investment Group charge?","answer":"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.","source":"CAPSTONE FIRM BROCHURE, filed 23 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Capstone Investment Group use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capstone Investment Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Capstone Investment Group invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Capstone Investment Group have a minimum investment?","answer":"Yes, Capstone Investment Group’s minimum account size for its Standard Annual Asset Management Fees is $200K.","source":"CAPSTONE FIRM BROCHURE, filed 23 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Capstone Investment Group?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capstone Investment Group get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Capstone Investment Group?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 23 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. 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."}