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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CAPITAL FORMATION GROUP, INC.

CRD 110958

WELLESLEY, MA

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:5fc60852-cbd9-aceb-b8bd-8cd8f43db23e

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2020
11 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.0MItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0M
Private client RAUM: $2.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 2
SEC number: 801-24315
CRD: 110958
Filings on the tape: 11
First filed: Mar 30, 2012
Latest filed: Mar 30, 2020
Organised: Corporation, Massachusetts

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
DORAN, WILLIAM, MICHAEL	VICE CHAIRMAN	C	yes	03/2016	Mar 30, 2016	Mar 30, 2020
LEE, JAMES, D	CHIEF COMPLIANCE OFFICER	Na	yes	07/2011	Mar 30, 2012	Mar 30, 2020
WILLIAMS, JOHN, DAVID	FOUNDER & CHIEF EXECUTIVE OFFICER	D	yes	08/1986	Mar 30, 2012	Mar 30, 2020
TOOMEY, MICHAEL, JOSEPH	RETIRED SHAREHOLDER	B	no	05/2009	Mar 30, 2012	Mar 30, 2020

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	no

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
2018	Mar 29, 2019	$142M	$106M	8	4	2	n/a	n/a
2017	Mar 30, 2018	$152M	$109M	8	3	2	n/a	n/a
2016	Mar 30, 2017	$146M	$108M	6	3	n/a	n/a	n/a
2015	Mar 30, 2016	$178M	$142M	7	4	n/a	n/a	n/a
2014	Mar 26, 2015	$192M	$158M	8	3	n/a	n/a	n/a
2013	Mar 31, 2014	$185M	$155M	8	3	n/a	n/a	n/a
2012	Mar 28, 2013	$140M	$116M	8	3	n/a	n/a	n/a
2011	Mar 30, 2012	$134M	$119M	n/a	n/a	n/a	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
2018	$2.0M	$152M	-98.7%	$178M	-77.6%	5	8	1	2

Relationships

Controls (3)

← WILLIAMS, JOHN, DAVIDOwnerFOUNDER & CHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← DORAN, WILLIAM, MICHAELOwnerVICE CHAIRMAN, ownership code C, individual
Mar 30, 2016 to presentfactForm ADV
← LEE, JAMES, DOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← TOOMEY, MICHAEL, JOSEPHOwnerRETIRED SHAREHOLDER, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (4)

← JOHN DAVID WILLIAMSAdvisorregistration: previous registration
Nov 20, 2009 to Mar 30, 2020factForm ADV
← Cintia Alexandra KempkesAdvisorregistration: previous registration
Apr 11, 2018 to Mar 30, 2020factForm ADV
← MARCEL VICTORIA QUIROGAAdvisorregistration: previous registration
Apr 9, 2010 to Feb 24, 2016factForm ADV
← JASON SAEED MORADAdvisorregistration: previous registration
Nov 20, 2009 to Apr 30, 2015factForm ADV

Dated events

Occurred
Mar 30, 2020
Regulatory AUM changed
Capital Formation Group, Inc. reported RAUM $2.0M, down 99% from $141.9M (2019-03-29 to 2020-03-30)
Form ADVobserved 5 days ago
$-140M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5fc60852-cbd9-aceb-b8bd-8cd8f43db23e
First observed: Mar 30, 2012
Last observed: Mar 30, 2020 78 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.

CAPITAL FORMATION GROUP, INC.

CRD 110958

WELLESLEY, MA

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:5fc60852-cbd9-aceb-b8bd-8cd8f43db23e

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DORAN, WILLIAM, MICHAEL

VICE CHAIRMAN

yes

03/2016

Mar 30, 2016

Mar 30, 2020

LEE, JAMES, D

CHIEF COMPLIANCE OFFICER

yes

07/2011

Mar 30, 2012

Mar 30, 2020

WILLIAMS, JOHN, DAVID

FOUNDER & CHIEF EXECUTIVE OFFICER

yes

08/1986

Mar 30, 2012

Mar 30, 2020

TOOMEY, MICHAEL, JOSEPH

RETIRED SHAREHOLDER

05/2009

Mar 30, 2012

Mar 30, 2020

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$142M

$106M

n/a

2017

Mar 30, 2018

$152M

$109M

n/a

2016

Mar 30, 2017

$146M

$108M

n/a

2015

Mar 30, 2016

$178M

$142M

n/a

2014

Mar 26, 2015

$192M

$158M

n/a

2013

Mar 31, 2014

$185M

$155M

n/a

2012

Mar 28, 2013

$140M

$116M

n/a

2011

Mar 30, 2012

$134M

$119M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$2.0M

$152M

-98.7%

$178M

-77.6%