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

CAPITAL STRATEGY GROUP LTD

CRD 110956

SYRACUSE, NY

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:88b5ba77-20cd-fa82-62ac-f9eb0fbaccbb

Data as of Jul 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Jul 1, 2020
23 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: $73.0MItem 5.F on the latest filing (2020-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $73.0M
Private client RAUM: $68.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 156
Individual clients: 141
High net worth clients: 10
Custody, client assets: $73.0M
SEC number: 801-20826
CRD: 110956
Filings on the tape: 23
First filed: Mar 30, 2012
Latest filed: Jul 1, 2020
Organised: Corporation, New York

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
ATRIA WEALTH SOLUTIONS HOLDINGS LLC	Shareholder	E	yes	10/2018	Jun 11, 2019	Jul 1, 2020
ATRIA WEALTH SOLUTIONS, INC.	Shareholder	E	yes	10/2018	Jun 11, 2019	Jul 1, 2020
AWS 4 INC	Shareholder	E	yes	10/2018	Nov 17, 2018	Jul 1, 2020
LEE EQUITY PARTNERS FUND II (A), L.P.	Member	C	yes	10/2018	Jun 11, 2019	Jul 1, 2020
LEP ATRIA HOLDINGS, LLC	Member	C	yes	10/2018	Jun 11, 2019	Jul 1, 2020
SLEEPER, JAMES, BRADLEY	President	Na	yes	02/1987	Mar 30, 2012	Jul 1, 2020
WILLIAMS, JANICE, POWERS	CHIEF COMPLIANCE OFFICER	Na	yes	06/2019	Jun 11, 2019	Jul 1, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CADARET, GRANT & CO., INC.	n/a	Former SEC adviser	$7.7B	Y	yes	n/a
CUSO FINANCIAL SERVICES, L.P.	n/a	Former SEC adviser	$5.4B	N	yes	n/a
NEXT FINANCIAL GROUP, INC.	n/a	Former SEC adviser	$3.8B	N	yes	n/a
WESTERN INTERNATIONAL SECURITIES, INC.	n/a	Former SEC adviser	$3.5B	N	yes	n/a
SORRENTO PACIFIC FINANCIAL, LLC	n/a	Former SEC adviser	$222M	N	yes	n/a
CADARET GRANT AGENCY INC.,	n/a	n/a	n/a	N	yes	n/a
CFS INSURANCE AND TECHNOLOGY SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
NEXT FINANCIAL INSURANCE SERVICES COMPANY	n/a	n/a	n/a	N	yes	n/a

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	Jul 31, 2019	$73.0M	$73.0M	2	2	0	n/a	n/a
2018	Jul 27, 2018	$82.4M	$82.4M	2	2	0	n/a	n/a
2017	Jul 27, 2017	$62.7M	$62.7M	3	3	n/a	n/a	n/a
2016	Jul 28, 2016	$54.9M	$54.9M	4	4	n/a	n/a	n/a
2015	Jul 29, 2015	$65.1M	$65.1M	5	2	n/a	n/a	n/a
2014	Jul 24, 2014	$49.3M	$41.3M	6	2	n/a	n/a	n/a
2013	Jul 31, 2013	$42.6M	$39.5M	6	2	n/a	n/a	n/a
2012	Jul 31, 2012	$35.6M	$28.0M	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
2019	$73.0M	$82.4M	-11.3%	$54.9M	10.0%	2	2	0	0

Relationships

Affiliated with (5)

→ CADARET GRANT & CO INCRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (6)

← SLEEPER, JAMES, BRADLEYOwnerPRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← WILLIAMS, JANICE, POWERSOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 11, 2019 to presentfactForm ADV
← ATRIA WEALTH SOLUTIONS HOLDINGS LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Jun 11, 2019 to presentfactForm ADV
← AWS 4 INCOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 17, 2018 to presentfactForm ADV
← LEE EQUITY PARTNERS FUND II (A), L.P.OwnerMEMBER, ownership code C, domestic entity
Jun 11, 2019 to presentfactForm ADV
← LEP ATRIA HOLDINGS, LLCOwnerMEMBER, ownership code C, domestic entity
Jun 11, 2019 to presentfactForm ADV

Dated events

Occurred
Jun 11, 2019
Control person joined
Powers Janice Williams (Chief Compliance Officer) appeared on Schedule A of Capital Strategy Group Ltd
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:88b5ba77-20cd-fa82-62ac-f9eb0fbaccbb
First observed: Mar 30, 2012
Last observed: Jul 1, 2020 75 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 STRATEGY GROUP LTD

CRD 110956

SYRACUSE, NY

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:88b5ba77-20cd-fa82-62ac-f9eb0fbaccbb

Data as of Jul 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ATRIA WEALTH SOLUTIONS HOLDINGS LLC

Shareholder

yes

10/2018

Jun 11, 2019

Jul 1, 2020

ATRIA WEALTH SOLUTIONS, INC.

Shareholder

yes

10/2018

Jun 11, 2019

Jul 1, 2020

AWS 4 INC

Shareholder

yes

10/2018

Nov 17, 2018

Jul 1, 2020

LEE EQUITY PARTNERS FUND II (A), L.P.

Member

yes

10/2018

Jun 11, 2019

Jul 1, 2020

LEP ATRIA HOLDINGS, LLC

Member

yes

10/2018

Jun 11, 2019

Jul 1, 2020

SLEEPER, JAMES, BRADLEY

President

yes

02/1987

Mar 30, 2012

Jul 1, 2020

WILLIAMS, JANICE, POWERS

CHIEF COMPLIANCE OFFICER

yes

06/2019

Jun 11, 2019

Jul 1, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CADARET, GRANT & CO., INC.

n/a

Former SEC adviser

$7.7B

yes

n/a

CUSO FINANCIAL SERVICES, L.P.

n/a

Former SEC adviser

$5.4B

yes

n/a

NEXT FINANCIAL GROUP, INC.

n/a

Former SEC adviser

$3.8B

yes

n/a

WESTERN INTERNATIONAL SECURITIES, INC.

n/a

Former SEC adviser

$3.5B

yes

n/a

SORRENTO PACIFIC FINANCIAL, LLC

n/a

Former SEC adviser

$222M

yes

n/a

CADARET GRANT AGENCY INC.,

n/a

yes

n/a

CFS INSURANCE AND TECHNOLOGY SERVICES, LLC

n/a

yes

n/a

NEXT FINANCIAL INSURANCE SERVICES COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jul 31, 2019

$73.0M

n/a

2018

Jul 27, 2018

$82.4M

n/a

2017

Jul 27, 2017

$62.7M

n/a

2016

Jul 28, 2016

$54.9M

n/a

2015

Jul 29, 2015

$65.1M

n/a

2014

Jul 24, 2014

$49.3M

$41.3M

n/a

2013

Jul 31, 2013

$42.6M

$39.5M

n/a

2012

Jul 31, 2012

$35.6M

$28.0M

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

$73.0M

$82.4M

-11.3%

$54.9M

10.0%