DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

JOSHUA STEVEN WOOD

Advisor at CAPITAL CLIENT GROUP, INC.

Plainfield, IN | CARMEL, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:211dbdb7-de45-b004-87fa-a1496c47a837

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 21, 2006
First registration: Nov 22, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5217310

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Apr 25, 2013	n/a	yes	CARMEL, IN\|Plainfield, IN	Current employment
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jul 23, 2012	Nov 5, 2012	no	GREENCASTLE, IN\|INDIANAPOLIS, IN	Previous registration
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 26, 2011	Aug 1, 2012	no	GREENCASTLE, IN	Previous registration
EDWARD JONES	National bd RIA	Jul 16, 2007	Apr 11, 2011	no	GREENCASTLE, IN\|GREENCASTLE, IN\|GREENCASTLE, IN\|ST LOUIS, MO	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 22, 2006	Jul 12, 2007	no	INDIANAPOLIS, IN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	CAPITAL CLIENT GROUP, INC.	Nov 5, 2012	Apr 25, 2013	171	Firm change	Other
ADVANTAGE INVESTMENT MANAGEMENT, LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Aug 1, 2012	Jul 23, 2012	-9	Firm change	Other
EDWARD JONES	ADVANTAGE INVESTMENT MANAGEMENT, LLC	Apr 11, 2011	Apr 26, 2011	15	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	EDWARD JONES	Jul 12, 2007	Jul 16, 2007	4	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Apr 25, 2013 to presentfactForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jul 23, 2012 to Nov 5, 2012factForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 26, 2011 to Aug 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jul 16, 2007 to Apr 11, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 22, 2006 to Jul 12, 2007factForm ADV

Dated events

No dated event names this entity yet.