Capital Client Group, Inc.

• Other

Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ

See the firm's brochure (dated September 26, 2025) for its fees and any account minimum, on the SEC's IAPD site.

Not reported.

A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means

Not reported.

A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.

• Other

Registration

SEC-registered investment adviser. Status as filed: Approved.

Registered since

2013 (13 years)

Employees

Total: 925. Performing investment advisory functions: 693.

Wrap fee program participation

No.

Other offices (Schedule D, Section 1.F)

9 other offices, as of the October 2026 filing

Atlanta, GACarmel, INChicago, ILIrvine, CALos Angeles, CAMiami, FLNew York, NYSan Antonio, TXSan Francisco, CA

States registered or notice-filed

49 states or jurisdictions

ALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY

SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration

1 Reports 1 disclosure item on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

• 11.D(2) Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of the IAPD record. Reading a firm's disclosures

Total employees: 825 in October 2021 and 925 in October 2026.

As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.

1. October 2026
   • Employees performing advisory functions went from 699 to 693.
   • Registered or notice-filed in AL, AR, DC, DE, IA, LA, ME, MS, MT, ND, NE, NM, NV, OK, OR, SC, SD, UT, VT, WV, WY.
2. September 2026
   • Registered or notice-filed in KS, KY.
3. June 2026
   • Item 11 disclosure answers changed: 1 yes answer, previously 0 (now yes: 11.D(2)).
4. May 2026
   • Registered or notice-filed in WA.
5. March 2026
   • Registered or notice-filed in MN, NC, OH.
6. February 2026
   • Registered or notice-filed in CO, ID, MA, MD, MO, NH, NJ.
7. December 2025
   • Employees performing advisory functions went from 655 to 699.
   • Registered or notice-filed in AZ, RI.

Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.