Capital Gains Advisory Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 343790
·
· www.capitalgainsadvisory.com
☆ Save with Pro
ADV data as of Sep 20, 2026
- Regulatory AUM
- $1.0M
- Discretionary
- $1.0M
- Clients
- 3
- Avg AUM / client
- $333K
- Accounts
- 20
- Employees
- 1
AUM over time
$0
$1.0M
Aug 31, 2026
Sep 20, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3 | $1.0M | 100.0% |
| High net worth individuals | Fewer than 5 clients | — | — |
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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Sep 20, 2026.
View current Form ADV (SEC/IAPD) ↗