# Capital Financial Management, Inc.

> Capital Financial Management, Inc. is a state-registered investment advisory firm in Indianapolis, IN, registered since 2003, with no regulatory assets under management reported in its Form ADV filing dated March 29, 2023.

- CRD: 123625
- Filed as: CAPITAL FINANCIAL MANAGEMENT, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Indianapolis, IN
- Filing period: October 2026
- Form ADV filing dated: March 29, 2023
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/123625
- AdvisorCensus page: https://advisorcensus.com/firm/capital-financial-management-inc-indianapolis-in-123625

## Quick answers

**How is Capital Financial Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Capital Financial Management, Inc. reports these compensation arrangements: hourly charges; commissions.

**Where is Capital Financial Management, Inc. located?**
Capital Financial Management, Inc.'s principal office is in Indianapolis, IN, according to its Form ADV.

**Is Capital Financial Management, Inc. registered with the SEC or a state?**
Capital Financial Management, Inc. is a state-registered investment advisory firm, registered since 2003. Status as filed: APPROVED. CRD 123625.

**What types of clients does Capital Financial Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (74).

**Does Capital Financial Management, Inc. report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/123625

## From the Form ADV filing

### Compensation (Item 5.E)
- Hourly charges
- Commissions

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 74 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Educational seminars/workshops

### Firm details
- Registered since: 2003 (23 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IN
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 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?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

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. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/123625

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Capital Financial Management, Inc. (CRD 123625): Form ADV filing data as of October 2026.