Capstone Financial Advisors Inc
- Regulatory AUM
- $2.9B
- Discretionary
- $2.9B
- Clients
- 1,072
- Avg AUM / client
- $2.7M
- Accounts
- 4,173
- Employees
- 30
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 692 | $264M | 9.19% |
| High net worth individuals | 376 | $2.6B | 90.5% |
| Pension and profit sharing plans | 4 | $7.1M | 0.25% |
| Charitable organizations | Fewer than 5 clients | $3.2M | 0.11% |
People (19)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Troy E. Bute | President/Director | CFP | May 2006 (20y) | 25% – 50% |
| John Charles Kosik | Director | CFP | May 2011 (15y) | 5% – 10% |
| Jason Dwain Telford | Director | CFP CFA | Jan 2012 (15y) | 10% – 25% |
| Brian Michael Niksa | Shareholder | CFP | Mar 2014 (12y) | 5% – 10% |
| Aldo Salvatore Vultaggio | Shareholder | CFA | Sep 2016 (10y) | 5% – 10% |
| Marks, Richard, Gierard | Secretary/Treasurer | Jan 2018 (9y) | 5% – 10% | |
| Ahrens, Drew, Alan | Chief Compliance Officer | Feb 2024 (3y) | Less than 5% | |
| Robert John Wootton | Registered representative | CFP | Mar 2014 (12y) | |
| Nicholas Stephen Reed | Registered representative | CFP | May 2023 (3y) | |
| Jeffrey Drew Hansen | Registered representative | CFP | Sep 2023 (3y) | |
| John Timothy Koenig | Registered representative | CFP | Feb 2024 (2y) | |
| James Anthony Marquez | Registered representative | CFP | Feb 2024 (2y) | |
| Sandra Lee Higgins | Registered representative | CFP | Feb 2024 (2y) | |
| Brian William Peterson | Registered representative | CFP | Feb 2024 (2y) | |
| Kari Jean Mckinley | Registered representative | CFP | Feb 2024 (2y) | |
| Jeremy Thomas Lorenz | Registered representative | CFP | May 2024 (2y) | |
| Michal Gicala | Registered representative | CFP | May 2024 (2y) | |
| Marisa Ann Marshall | Registered representative | CFP | Jul 2025 (1y) | |
| Ma Guadalupe Navarro | Registered representative | CFP | Feb 2026 (0y) |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • FIXED QUARTERLY RETAINERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $2.9B (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗