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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

AO VANG

Advisor at CAPSTONE INVESTMENT GROUP

OLYMPIA, WA

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Search this name across graphsid dfx:ria:54509ffb-ba8a-d580-508a-c9437c9199d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 6, 2017 to Sep 14, 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: CAPSTONE INVESTMENT GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 6, 2017
First registration: Feb 6, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 6556402

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
CAPSTONE INVESTMENT GROUP	Independent wealth	Sep 2, 2026	n/a	yes	OLYMPIA, WA	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Jun 14, 2021	Apr 8, 2026	no	MINNEAPOLIS, MN\|Maplewood, MN	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jun 23, 2020	Jun 3, 2021	no	OAKDALE, MN	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 6, 2017	Mar 24, 2020	no	LANCASTER, PA	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
RBC CAPITAL MARKETS, LLC	CAPSTONE INVESTMENT GROUP	Apr 8, 2026	Sep 2, 2026	147	Firm change	Ibd to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	RBC CAPITAL MARKETS, LLC	Jun 3, 2021	Jun 14, 2021	11	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 24, 2020	Jun 23, 2020	91	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ CAPSTONE INVESTMENT GROUPRegistered adviserregistration: current employment
Sep 2, 2026 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jun 14, 2021 to Apr 8, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jun 23, 2020 to Jun 3, 2021factForm ADV

Dated events

Occurred
Apr 8, 2026
Advisor changed firm
Ao Vang left Rbc Capital Markets, Llc for Capstone Investment Group (registered 2026-09-02)
Form ADVobserved 6 days ago