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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

DUANE ROBERT MATTSON

Advisor at CAPITAL CLIENT GROUP, INC.

IRVINE, CA | SAN ANTONIO, TX | San Marcos, TX

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2003 to Sep 15, 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: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 27, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jan 27, 1994
First registration: Jun 23, 2003
Dual registered: yes, broker-dealer
Other names: DUANE ROBERT MATTSON|Duane Mattson
IAPD individual key: 2439753

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
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Aug 21, 2022	n/a	yes	SAN ANTONIO, TX\|San Marcos, TX\|IRVINE, CA	Current employment
LION STREET ADVISORS, LLC	Former SEC adviser	Jan 7, 2021	Jul 7, 2022	no	AUSTIN, TX	Previous registration
DIMENSIONAL FUND ADVISORS LP	Asset manager	May 17, 2012	Oct 10, 2018	no	AUSTIN, TX	Previous registration
AFAM CAPITAL, INC.	Former SEC adviser	Dec 5, 2011	May 15, 2012	no	AUSTIN, TX	Previous registration
VICTORY CAPITAL MANAGEMENT INC.	Asset manager	Sep 17, 2008	Nov 18, 2009	no	SAN ANTONIO, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Oct 26, 2004	Apr 17, 2008	no	AUSTIN, TX\|AUSTIN, TX\|HOWELL, NJ\|ARMONIC, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Mar 22, 2004	Aug 25, 2004	no	HOUSTON, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jun 23, 2003	Mar 17, 2004	no	AUSTIN, TX	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
LION STREET ADVISORS, LLC	CAPITAL CLIENT GROUP, INC.	Jul 7, 2022	Aug 21, 2022	45	Firm change	Other
DIMENSIONAL FUND ADVISORS LP	LION STREET ADVISORS, LLC	Oct 10, 2018	Jan 7, 2021	820	Firm change after gap	Other
AFAM CAPITAL, INC.	DIMENSIONAL FUND ADVISORS LP	May 15, 2012	May 17, 2012	2	Firm change	Other
VICTORY CAPITAL MANAGEMENT INC.	AFAM CAPITAL, INC.	Nov 18, 2009	Dec 5, 2011	747	Firm change after gap	Other
NFP ADVISOR SERVICES, LLC	VICTORY CAPITAL MANAGEMENT INC.	Apr 17, 2008	Sep 17, 2008	153	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	NFP ADVISOR SERVICES, LLC	Aug 25, 2004	Oct 26, 2004	62	Firm change	Other
NFP ADVISOR SERVICES, LLC	CHASE INVESTMENT SERVICES CORP.	Mar 17, 2004	Mar 22, 2004	5	Firm change	Other

Relationships

Registered with (7)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Aug 21, 2022 to presentfactForm ADV
→ LION STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 7, 2021 to Jul 7, 2022factForm ADV
→ DIMENSIONAL FUND ADVISORS LPRegistered adviserregistration: previous registration
May 17, 2012 to Oct 10, 2018factForm ADV
→ AFAM CAPITAL, INC.Registered adviserregistration: previous registration
Dec 5, 2011 to May 15, 2012factForm ADV
→ VICTORY CAPITAL MANAGEMENT INC.Registered adviserregistration: previous registration
Sep 17, 2008 to Nov 18, 2009factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Oct 26, 2004 to Apr 17, 2008factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Mar 22, 2004 to Aug 25, 2004factForm ADV

Dated events

Occurred
Jul 7, 2022
Advisor changed firm
Duane Robert Mattson left Lion Street Advisors, Llc for Capital Client Group, Inc. (registered 2022-08-21)
Form ADVobserved 6 days ago