Capital Financial Group, Inc.
- Regulatory AUM
- $237M
- Discretionary
- $219M
- Clients
- 238
- Avg AUM / client
- $997K
- Accounts
- 667
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Jul 16, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 171 | $75.3M | 31.7% |
| High net worth individuals | 62 | $147M | 62.0% |
| Pension and profit sharing plans | 3 | $14.4M | 6.06% |
| Corporations and other businesses | 2 | $577K | 0.24% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Arnold & Porter Profit Sharing And 401(k) Plan And Trust Arnold & Porter Kaye Scholer Llp | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alexander Adrian Leonida | Chief Executive Officer/Chief Compliance Officer | CFP | Jul 2009 (17y) | 75% or more |
| Amel John Guigli | Registered representative | Chartered Financial Consultant | Jan 1999 (28y) | |
| Brooks Jamison Adams | Registered representative | Feb 2026 (0y) |
Undisclosed: 0% – 25% 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.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Arnold & Porter Profit Sharing And 401(k) Plan And Trust | Arnold & Porter Kaye Scholer Llp | 1,788 | $1.6B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/16/2026 | 956 KB | 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- LPL Financial $219M (92% of AUM) Jul 2026
- Raymond James $185M (94% of AUM) Aug 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jul 16, 2026.
View current Form ADV (SEC/IAPD) ↗