DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Capital Strategy Group Ltd

Former SEC-registered adviserSyracuse, New YorkCRD 110956SEC 801-20826IAPD
Latest filing Jul 1, 2020
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$73.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$68.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$73.0M as of Jul 31, 2019
Jul 31, 2012$35.6M then
HNW client RAUM$32.3M as of Jul 31, 2019
Jul 27, 2018$0 then
State-registered IARs (5.B.3)1 as of Jul 31, 2019
Jul 31, 20120 then
Employees (5.A)2 as of Jul 31, 2019
Jul 31, 20136 then
Private funds: no history
RAUM -11% over the last fiscal year+10.0% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jul 1, 2020; every figure names its basis
RAUM per advisor
$73.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
151derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$468,075derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-24%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$73.0M, 156 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36.6M50%
  • High-net-worth individuals$32.3M44%
  • Corporations and businesses$2.2M3.1%
  • Charitable organizations$1.9M2.6%
Individual clients
141reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
156reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $61.2M managedreported
Custody of client assets
$73.0M for 156 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Bradley James Sleeper · Presidentcontrol
        since 02/1987 · owns less than 5%
      • Powers Janice Williams · Chief Compliance Officercontrol
        since 06/2019 · owns less than 5%
      Entity owners
      • Aws 4 Inc · Shareholder
        direct · owns 75% or more
      • Atria Wealth Solutions Holdings LLC · Shareholder
        indirect · owns 75% or more of Atria Wealth Solutions, Inc.
      • Atria Wealth Solutions, Inc. · Shareholder
        indirect · owns 75% or more of Aws 4 Inc
      • Lee Equity Partners Fund II (A), L.P. · Member
        indirect · owns 25% to 50% of Lep Atria Holdings, LLC
      • Lep Atria Holdings, LLC · Member
        indirect · owns 25% to 50% of Atria Wealth Solutions Holdings LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 203 to 156
        Jul 8, 2019 to Jul 31, 2019
      • Advisory activities · 2 to 1
        Jul 8, 2019 to Jul 31, 2019
      • BD registered reps · 0 to 1
        Jul 8, 2019 to Jul 31, 2019
      • HNW clients · 0 to 10
        Jul 8, 2019 to Jul 31, 2019
      • Individual clients · 198 to 141
        Jul 8, 2019 to Jul 31, 2019
      • Assets in custody · $82.4M to $73.0M
        Jul 8, 2019 to Jul 31, 2019
      • Insurance-licensed employees · 0 to 1
        Jul 8, 2019 to Jul 31, 2019
      • State-registered IARs · 0 to 1
        Jul 8, 2019 to Jul 31, 2019
      • Discretionary RAUM · $82.4M to $73.0M
        Jul 8, 2019 to Jul 31, 2019
      • HNW RAUM · $0 to $32.3M
        Jul 8, 2019 to Jul 31, 2019
      • Individual RAUM · $75.9M to $36.6M
        Jul 8, 2019 to Jul 31, 2019
      • RAUM · $82.4M to $73.0M
        Jul 8, 2019 to Jul 31, 2019
      • Wrap assets (manager) · $71.3M to $61.2M
        Jul 8, 2019 to Jul 31, 2019
      • Assets in custody · unset to 82361922.0
        Nov 17, 2018 to Jun 11, 2019
      • Custody of client assets · false to true
        Nov 17, 2018 to Jun 11, 2019
      • Accounts · 170 to 203
        Sep 6, 2017 to Jul 27, 2018
      • Advisory employees · 3 to 2
        Sep 6, 2017 to Jul 27, 2018
      • BD registered reps · 1 to 0
        Sep 6, 2017 to Jul 27, 2018
      • HNW clients · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Individual clients · unset to 198.0
        Sep 6, 2017 to Jul 27, 2018
      • Pension plan clients · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Employees · 3 to 2
        Sep 6, 2017 to Jul 27, 2018
      • Insurance-licensed employees · 1 to 0
        Sep 6, 2017 to Jul 27, 2018
      • State-registered IARs · 1 to 0
        Sep 6, 2017 to Jul 27, 2018
      • Other offices · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Discretionary RAUM · $62.7M to $82.4M
        Sep 6, 2017 to Jul 27, 2018
      • HNW RAUM · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Individual RAUM · unset to 75860070.0
        Sep 6, 2017 to Jul 27, 2018
      • Pension RAUM · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • RAUM · $62.7M to $82.4M
        Sep 6, 2017 to Jul 27, 2018
      • Wrap assets (manager) · unset to 71292031.0
        Sep 6, 2017 to Jul 27, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Sep 6, 2017 to Jul 27, 2018
      • Accounts · 140 to 170
        Jul 28, 2016 to Jul 27, 2017
      • Advisory employees · 4 to 3
        Jul 28, 2016 to Jul 27, 2017
      • Employees · 4 to 3
        Jul 28, 2016 to Jul 27, 2017
      • Discretionary RAUM · $54.9M to $62.7M
        Jul 28, 2016 to Jul 27, 2017
      • RAUM · $54.9M to $62.7M
        Jul 28, 2016 to Jul 27, 2017
      • Accounts · 129 to 140
        Jul 29, 2015 to Jul 28, 2016
      Signals
      1 dated events
      • Powers Janice Williams (Chief Compliance Officer) appeared on Schedule A of Capital Strategy Group Ltd
        Jun 11, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026