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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CAPSTONE FINANCIAL GROUP, INC

CRD 299819

OKLAHOMA CITY, OK

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:3019852a-fd86-7e66-d00f-84fb1e60bca4

Data as of May 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 1
Observed: Dec 17, 2018 to May 11, 2020
7 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Capstone Financial Group, Inc

Investment consultant · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $180MItem 5.F on the latest filing (2020-05-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $180M
Private client RAUM: $150MderivedItem 5.D individuals plus high net worth individuals
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 854
Individual clients: 190
High net worth clients: 68
SEC number: 801-114591
CRD: 299819
Filings on the tape: 7
First filed: Dec 17, 2018
Latest filed: May 11, 2020
Organised: Corporation, Oklahoma

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DUNHAM, MICHAEL, PHILLIP	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	11/2018	Dec 17, 2018	May 11, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 17, 2020	$180M	$180M	4	1	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$180M	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Relationships

Controls (1)

← DUNHAM, MICHAEL, PHILLIPOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 17, 2018 to presentfactForm ADV

Dated events

Occurred
Dec 17, 2018
First Form ADV filing
Capstone Financial Group, Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3019852a-fd86-7e66-d00f-84fb1e60bca4
First observed: Dec 17, 2018
Last observed: May 11, 2020 77 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CAPSTONE FINANCIAL GROUP, INC

CRD 299819

OKLAHOMA CITY, OK

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:3019852a-fd86-7e66-d00f-84fb1e60bca4

Data as of May 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:49 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUNHAM, MICHAEL, PHILLIP

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

11/2018

Dec 17, 2018

May 11, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 17, 2020

$180M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$180M

n/a