AdvisorCensus / Financial advisors / Colorado / Denver / Capital Financial Group, Inc.
Capital Financial Group, Inc. is an SEC-registered investment advisory firm in Littleton, CO, registered since 2019, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 16, 2026.
Quick answers
From the filingHow is Capital Financial Group, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Capital Financial Group, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Capital Financial Group, Inc. located?
Capital Financial Group, Inc.'s principal office is in Littleton, CO, according to its Form ADV.
Is Capital Financial Group, Inc. registered with the SEC or a state?
Capital Financial Group, Inc. is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 111709.
How much does Capital Financial Group, Inc. manage?
Capital Financial Group, Inc. reports $237,367,874 in regulatory assets under management in its Form ADV filing dated July 16, 2026 (92% discretionary).
How have Capital Financial Group, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Capital Financial Group, Inc.: Regulatory assets under management: $198,177,796 in the October 2021 data and $237,367,874 in the October 2026 data, up 20%. Total employees: 5 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Capital Financial Group, Inc. serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (171); high net worth individuals (62); pension and profit sharing plans (but not the plan participants or government pension plans) (3).
Which custodians does Capital Financial Group, Inc. use?
Capital Financial Group, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.
Does Capital Financial Group, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/111709
Does Capital Financial Group, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 25, 2026 says: "There is an account minimum of $250,000, which may be waived by us in our discretion."
What changed in Capital Financial Group, Inc.'s recent Form ADV filings?
In the May 2026 filing data: Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
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
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
There is an account minimum of $250,000, which may be waived by us in our discretion.
As stated in the firm's Form ADV Part 2A brochure dated March 25, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$237,367,874 as of October 2026, filing dated July 16, 2026.
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
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2019 (7 years)
- Employees
- Total: 5. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
5 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $237,367,874 | 5 | July 16, 2026 |
| October 2025 | $204,720,315 | 5 | February 13, 2025 |
| October 2024 | $196,422,153 | 6 | August 13, 2024 |
| October 2023 | $170,842,947 | 6 | April 12, 2023 |
| October 2022 | $233,463,700 | 5 | March 21, 2022 |
| October 2021 | $198,177,796 | 5 | July 19, 2021 |
Regulatory assets under management: $198,177,796 in the October 2021 data and $237,367,874 in the October 2026 data, up 20%.
Total employees: 5 in October 2021 and 5 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.
Changes in the filing
Last 12 months- May 2026
- Updated its list of owners and control persons (Schedule A).
- April 2026
- Employees performing advisory functions went from 2 to 3.
- Updated its list of owners and control persons (Schedule A).
- February 2026
- Regulatory assets under management went from $204,720,315 to $237,367,874 (+16%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Capital Financial Group, Inc. (CRD 111709): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/capital-financial-group-inc-littleton-co-111709