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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

CAPSTONE ADVISORY GROUP LLC

CRD 153443

EDINA, MN

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:f51618c0-ceb2-ba08-72dc-13cb8da8158d

Data as of Sep 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2012 to Sep 23, 2019
36 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: $443MItem 5.F on the latest filing (2019-09-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $144M
Private client RAUM: $441MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3,756
Individual clients: 514
High net worth clients: 154
SEC number: 801-71325
CRD: 153443
Filings on the tape: 36
First filed: Jan 6, 2012
Latest filed: Sep 23, 2019
Organised: Limited Liability Company, Minnesota

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
MORTENSON, GREGORY, JERALD	CHIEF COMPLIANCE OFFICER	D	yes	03/2010	Jan 6, 2012	Sep 23, 2019
SIVERHUS, SCOTT, MICHAEL	MANAGING PARTNER	D	yes	03/2010	Jan 6, 2012	Sep 23, 2019

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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Eagan	Mn	United States	1	yes

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 5, 2019	$422M	$127M	8	7	1	n/a	n/a
2017	Mar 7, 2018	$437M	$126M	7	6	1	n/a	n/a
2016	Feb 27, 2017	$350M	$106M	8	7	n/a	n/a	n/a
2015	Mar 16, 2016	$317M	$96.4M	10	7	n/a	n/a	n/a
2014	Feb 23, 2015	$296M	$86.2M	10	7	n/a	n/a	n/a
2013	Mar 10, 2014	$325M	$44.0M	7	4	n/a	n/a	n/a
2012	Mar 4, 2013	$233M	$25.0M	7	4	n/a	n/a	n/a
2011	Jan 6, 2012	$181M	$0	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	$443M	$437M	1.2%	$317M	11.8%	6	7	1	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
Onedigital	4	Feb 29, 2020	Dec 19, 2019	EDINA, MN	Firm absorbed	Other	80.0%

Relationships

Controls (2)

← SIVERHUS, SCOTT, MICHAELOwnerMANAGING PARTNER, ownership code D, individual
Jan 6, 2012 to presentfactForm ADV
← MORTENSON, GREGORY, JERALDOwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 6, 2012 to presentfactForm ADV

Registered with (9)

← PATRICE MARIE MACGIBBONAdvisorregistration: previous registration
Jan 27, 2014 to Feb 29, 2020factForm ADV
← SCOTT MICHAEL SIVERHUSAdvisorregistration: previous registration
Jan 27, 2014 to Feb 29, 2020factForm ADV
← GREGORY JERALD MORTENSONAdvisorregistration: previous registration
Jan 23, 2014 to Feb 29, 2020factForm ADV
← SAMUEL THOMAS SCHUETTEAdvisorregistration: previous registration
Jun 20, 2018 to Feb 29, 2020factForm ADV
← DAVID WILLIAM BRIGGSAdvisorregistration: previous registration
Jan 31, 2014 to Feb 29, 2020factForm ADV
← ERIC EDWARD WEGNERAdvisorregistration: previous registration
Feb 5, 2014 to Sep 23, 2019factForm ADV
← MICHAEL NATHAN LAUERAdvisorregistration: previous registration
Jul 1, 2013 to Jun 12, 2017factForm ADV
← JON JAMES MELANDERAdvisorregistration: previous registration
Jan 21, 2014 to Feb 23, 2015factForm ADV
← PAUL DANIEL WOOLFREYAdvisorregistration: previous registration
Jan 27, 2014 to Apr 14, 2014factForm ADV

Moved with (1)

→ ONEDIGITALRegistered adviser4 advisors, firm absorbed, same day
Feb 29, 2020 to Dec 19, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f51618c0-ceb2-ba08-72dc-13cb8da8158d
First observed: Jan 6, 2012
Last observed: Sep 23, 2019 85 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.

CAPSTONE ADVISORY GROUP LLC

CRD 153443

EDINA, MN

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:f51618c0-ceb2-ba08-72dc-13cb8da8158d

Data as of Sep 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MORTENSON, GREGORY, JERALD

CHIEF COMPLIANCE OFFICER

yes

03/2010

Jan 6, 2012

Sep 23, 2019

SIVERHUS, SCOTT, MICHAEL

MANAGING PARTNER

yes

03/2010

Jan 6, 2012

Sep 23, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

n/a

City

State

Country

Employees

Also broker-dealer

Eagan

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 5, 2019

$422M

$127M

n/a

2017

Mar 7, 2018

$437M

$126M

n/a

2016

Feb 27, 2017

$350M

$106M

n/a

2015

Mar 16, 2016

$317M

$96.4M

n/a

2014

Feb 23, 2015

$296M

$86.2M

n/a

2013

Mar 10, 2014

$325M

$44.0M

n/a

2012

Mar 4, 2013

$233M

$25.0M

n/a

2011

Jan 6, 2012

$181M

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

$443M

$437M

1.2%

$317M

11.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Onedigital

Feb 29, 2020

Dec 19, 2019

EDINA, MN

Firm absorbed

Other

80.0%