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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 10b 100b

CAP STRAT

CAPITAL STRATEGIES INVESTMENT GROUP LLC, CRD 150091

OAKBROOK TERRACE, IL

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:c843ed88-c6bb-3bc7-98fb-b05887d30279

Data as of Jul 7, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 16
On other graphs: 1
Observed: Apr 10, 2012 to Jul 7, 2025
27 observations

Across DFX

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

Allocatorsidentity

CAP Strat

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: $21BItem 5.F on the latest filing (2025-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.3B
Private client RAUM: $744MderivedItem 5.D individuals plus high net worth individuals
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 12
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,069
Individual clients: 27
High net worth clients: 179
SEC number: 801-70212
CRD: 150091
Filings on the tape: 27
First filed: Apr 10, 2012
Latest filed: Jul 7, 2025
Organised: Limited Liability Company, DE

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
BARBARA BEST REVOCABLE TRUST DATED DECEMBER 31, 2015	Member	D	yes	01/2019	Nov 5, 2024	Nov 5, 2024
BEST, BARBARA, JEAN	Trustee	F	yes	12/2015	Apr 10, 2012	Nov 5, 2024
BEST, BARBARA, JEAN	MANAGING MEMBER	Na	yes	06/2009	Apr 10, 2012	Nov 5, 2024
BETTONVILLE, ALISON, ANNE	Member	Na	yes	01/2015	Mar 19, 2015	Nov 5, 2024
DAVIES, NEIL, ANTHONY	Member	Na	yes	01/2021	Apr 18, 2022	Nov 5, 2024
NANCY M. RIZZUTO TRUST DATED JANUARY 29, 2016	Member	C	yes	02/2016	Nov 5, 2024	Nov 5, 2024
RAREY, MICHAEL, ADRIAN	Member	Na	yes	01/2016	Mar 8, 2016	Nov 5, 2024
RIZZUTO, NANCY, MARIE	MANAGING MEMBER	Na	yes	06/2009	Apr 10, 2012	Nov 5, 2024
RIZZUTO, NANCY, MARIE	Trustee	F	yes	01/2016	Apr 10, 2012	Nov 5, 2024
WARFORD, MICHAEL, ALAN	Member	Na	yes	01/2018	Mar 20, 2018	Nov 5, 2024

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
2024	Feb 19, 2025	$21B	$5.3B	23	12	0	n/a	n/a
2023	Mar 22, 2024	$19B	$4.9B	22	11	1	n/a	n/a
2022	Mar 27, 2023	$17B	$6.7B	25	12	1	n/a	n/a
2021	Mar 23, 2022	$20B	$7.9B	22	10	1	n/a	n/a
2020	Mar 9, 2021	$17B	$5.6B	20	10	1	n/a	n/a
2019	Mar 16, 2020	$16B	$6.1B	20	10	1	n/a	n/a
2018	Mar 12, 2019	$14B	$2.4B	20	10	1	n/a	n/a
2017	Mar 20, 2018	$14B	$2.1B	23	11	1	n/a	n/a
2016	Mar 8, 2017	$11B	$1.5B	23	11	n/a	n/a	n/a
2015	Mar 8, 2016	$11B	$1.2B	22	11	n/a	n/a	n/a
2014	Mar 18, 2015	$9.6B	$834M	22	11	n/a	n/a	n/a
2013	Mar 21, 2014	$7.5B	$700M	17	6	n/a	n/a	n/a
2012	Mar 22, 2013	$5.6B	$600M	17	6	n/a	n/a	n/a
2011	Apr 10, 2012	$5.3B	$600M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	8	-8	n/a	0	0	0	2	9

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
2024	$21B	$19B	11.2%	$20B	1.5%	23	22	0	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC	7	Dec 10, 2025	Aug 14, 2025	OAKBROOK TERRACE, IL	Firm absorbed	Other	87.5%

Relationships

Registered with (9)

← AMY LYNN SULLIVANAdvisorregistration: previous registration
May 9, 2019 to Dec 10, 2025factForm ADV
← NEIL ANTHONY DAVIESAdvisorregistration: previous registration
Jul 3, 2025 to Dec 10, 2025factForm ADV
← ALISON ANNE BETTONVILLEAdvisorregistration: previous registration
Mar 27, 2020 to Dec 10, 2025factForm ADV
← MICHAEL ALAN WARFORDAdvisorregistration: previous registration
May 21, 2019 to Dec 10, 2025factForm ADV
← MICHAEL ADRIAN RAREYAdvisorregistration: previous registration
May 21, 2019 to Dec 10, 2025factForm ADV
← Colin Michael RogersAdvisorregistration: previous registration
Aug 30, 2024 to Dec 10, 2025factForm ADV
← Carrie Walters ShapiroAdvisorregistration: previous registration
Apr 25, 2025 to Dec 10, 2025factForm ADV
← Molly McQuillan PowersAdvisorregistration: previous registration
Mar 22, 2022 to Dec 10, 2025factForm ADV
← Michael Gregory BabiczAdvisorregistration: previous registration
Mar 17, 2025 to Aug 22, 2025factForm ADV

Moved with (1)

→ CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLCRegistered adviser7 advisors, firm absorbed, same day
Dec 10, 2025 to Aug 14, 2025factForm ADV

Controls (8)

← RIZZUTO, NANCY, MARIEOwnerTRUSTEE, ownership code F, individual
Apr 10, 2012 to Nov 5, 2024factForm ADV
← BEST, BARBARA, JEANOwnerTRUSTEE, ownership code F, individual
Apr 10, 2012 to Nov 5, 2024factForm ADV
← DAVIES, NEIL, ANTHONYOwnerMEMBER, ownership code NA, individual
Apr 18, 2022 to Nov 5, 2024factForm ADV
← BETTONVILLE, ALISON, ANNEOwnerMEMBER, ownership code NA, individual
Mar 19, 2015 to Nov 5, 2024factForm ADV
← WARFORD, MICHAEL, ALANOwnerMEMBER, ownership code NA, individual
Mar 20, 2018 to Nov 5, 2024factForm ADV
← RAREY, MICHAEL, ADRIANOwnerMEMBER, ownership code NA, individual
Mar 8, 2016 to Nov 5, 2024factForm ADV
← BARBARA BEST REVOCABLE TRUST DATED DECEMBER 31, 2015OwnerMEMBER, ownership code D, domestic entity
Nov 5, 2024 to Nov 5, 2024factForm ADV
← NANCY M. RIZZUTO TRUST DATED JANUARY 29, 2016OwnerMEMBER, ownership code C, domestic entity
Nov 5, 2024 to Nov 5, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Dec 10, 2025
Firm absorbed
Cap Strat's advisors moved to Creative Planning Institutional Advisors, LLC (Oakbrook Terrace, IL): 7 of 8 registered, on the same day
Form ADVobserved 4 days ago
7 advisors
Occurred
Dec 10, 2025
Advisor changed firm
Carrie Walters Shapiro left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-23)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Colin Michael Rogers left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-01)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Michael Adrian Rarey left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Michael Alan Warford left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-22)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Alison Anne Bettonville left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Molly Mcquillan Powers left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-23)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Neil Anthony Davies left Cap Strat for Creative Planning (registered 2026-02-17)
Form ADVobserved 4 days ago
Occurred
Dec 10, 2025
Advisor changed firm
Amy Lynn Sullivan left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2025
Advisor changed firm
Michael Gregory Babicz left Cap Strat for Pine Grove Financial Group (registered 2025-10-21)
Form ADVobserved 4 days ago
Occurred
Nov 5, 2024
Control person left
Marie Janet Woodall (Trustee) no longer on Schedule A of Cap Strat (listed 2024-04-29, absent 2024-11-05)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person left
Franklin William Woodall (Chief Compliance Officer/Managing Member) no longer on Schedule A of Cap Strat (listed 2023-03-27, absent 2024-03-22)
Form ADVobserved 4 days ago
Occurred
Mar 22, 2024
Control person joined
Marie Janet Woodall (Trustee) appeared on Schedule A of Cap Strat
Form ADVobserved 4 days ago
Occurred
Apr 18, 2022
Control person joined
Anthony Neil Davies (Member) appeared on Schedule A of Cap Strat
Form ADVobserved 4 days ago
Occurred
Mar 20, 2018
Regulatory AUM changed
Cap Strat reported RAUM $13.7B, up 29% from $10.6B (2017-11-03 to 2018-03-20)
Form ADVobserved 4 days ago
$3.1B

Show 1 bookkeeping events

Occurred
Jan 2, 2026
Cap Strat no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $21.3B)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c843ed88-c6bb-3bc7-98fb-b05887d30279
First observed: Apr 10, 2012
Last observed: Jul 7, 2025 14 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.

CAP STRAT

CAPITAL STRATEGIES INVESTMENT GROUP LLC, CRD 150091

OAKBROOK TERRACE, IL

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:c843ed88-c6bb-3bc7-98fb-b05887d30279

Data as of Jul 7, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARBARA BEST REVOCABLE TRUST DATED DECEMBER 31, 2015

Member

yes

01/2019

Nov 5, 2024

BEST, BARBARA, JEAN

Trustee

yes

12/2015

Apr 10, 2012

Nov 5, 2024

BEST, BARBARA, JEAN

MANAGING MEMBER

yes

06/2009

Apr 10, 2012

Nov 5, 2024

BETTONVILLE, ALISON, ANNE

Member

yes

01/2015

Mar 19, 2015

Nov 5, 2024

DAVIES, NEIL, ANTHONY

Member

yes

01/2021

Apr 18, 2022

Nov 5, 2024

NANCY M. RIZZUTO TRUST DATED JANUARY 29, 2016

Member

yes

02/2016

Nov 5, 2024

RAREY, MICHAEL, ADRIAN

Member

yes

01/2016

Mar 8, 2016

Nov 5, 2024

RIZZUTO, NANCY, MARIE

MANAGING MEMBER

yes

06/2009

Apr 10, 2012

Nov 5, 2024

RIZZUTO, NANCY, MARIE

Trustee

yes

01/2016

Apr 10, 2012

Nov 5, 2024

WARFORD, MICHAEL, ALAN

Member

yes

01/2018

Mar 20, 2018

Nov 5, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 19, 2025

$21B

$5.3B

n/a

2023

Mar 22, 2024

$19B

$4.9B

n/a

2022

Mar 27, 2023

$17B

$6.7B

n/a

2021

Mar 23, 2022

$20B

$7.9B

n/a

2020

Mar 9, 2021

$17B

$5.6B

n/a

2019

Mar 16, 2020

$16B

$6.1B

n/a

2018

Mar 12, 2019

$14B

$2.4B

n/a

2017

Mar 20, 2018

$14B

$2.1B

n/a

2016

Mar 8, 2017

$11B

$1.5B

n/a

2015

Mar 8, 2016

$11B

$1.2B

n/a

2014

Mar 18, 2015

$9.6B

$834M

n/a

2013

Mar 21, 2014

$7.5B

$700M

n/a

2012

Mar 22, 2013

$5.6B

$600M

n/a

2011

Apr 10, 2012

$5.3B

$600M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-8

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$21B

$19B

11.2%

$20B

1.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC

Dec 10, 2025

Aug 14, 2025

OAKBROOK TERRACE, IL

Firm absorbed

Other

87.5%