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.
SEC-registered adviser
Capstone Capital Wealth Advisors
Legal name Capstone Capital LLC
Latest filing Jul 7, 2026
First filing on the tape Mar 29, 2012 · 39 filings
SEC status approved since Aug 4, 2016
RAUM
$408M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$358M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$81.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$408M as of Jul 7, 2026
Mar 29, 2012$59.4M then
HNW client RAUM$309M as of Jul 7, 2026
Mar 16, 2018$96.3M then
State-registered IARs (5.B.3)5 as of Jul 7, 2026
Mar 23, 20174 then
Employees (5.A)5 as of Jul 7, 2026
Mar 23, 20175 then
Private funds: no history
RAUM +13% over the last fiscal year+9.2% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $81.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $741,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $168M, 131 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$309M76%
- Individuals$49.1M12%
- Banks and thrifts$48.7M12%
- Charitable organizations$2.2M0.5%
- Individual clients
- 106reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 551reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $168M for 131 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Kay Leavitt | Henderson, Nv | Apr 8, 2009 | 40 y | 3 |
| Adam Moroni DawsonCertified Financial Planner | Henderson, Nv | May 26, 2016 | 25 y | 4 |
| Adam Mcnitt Cress | Henderson, Nv | Apr 11, 2024 | 10 y | 1 |
| Adam Moisson Corrie | Henderson, Nv | Jul 7, 2025 | 17 y | 0 |
| Eric Edgar Sorenson | Henderson, Nv | Jul 2, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Ryan Patrick Mack to Clark Asset Management, LLCMar 6, 2025 · RIA to RIA
- Kyle Wade Price to Cambridge Investment Research Advisors, Inc.Jul 11, 2023 · RIA to affiliated broker-dealer or bank
- Jacqueline S Benjamin Hatherley to The Retirement Solutions GroupOct 31, 2022 · RIA to a state-registered adviser
- Alexi Howie to Cambridge Investment Research Advisors, Inc.Aug 23, 2022 · RIA to affiliated broker-dealer or bank
- Debra Sue Harkins to RBC Capital Markets, LLCJan 26, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Eric Edgar Sorenson from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2, 2026 · Wirehouse to independent RIA
- Adam Mcnitt Cress from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 11, 2024 · Wirehouse to independent RIA
- Ryan Patrick Mack from FartherApr 4, 2024 · RIA to RIA
- Kyle Wade Price from Equitable Advisors, LLCMay 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- Alexi Howie from Beacon Pointe Wealth Advisors, LLCJun 27, 2018 · Other
- Adam Moroni Dawson from Park Avenue Securities LLCMay 26, 2016 · Other
- Ronald Kay Leavitt from Sentra Securities CorporationMar 25, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Moroni Adam Dawson · Principal / Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- Kay Ronald Leavitt · Principalcontrolsince 12/2021 · owns less than 5%
- Moroni Adam Dawson · Managing Membercontrolsince 12/2021 · owns 75% or more of Dawson Holdings LLC
- Kay Ronald Leavitt · Managing Membercontrolsince 12/2021 · owns 75% or more of Leavitt Holdings LLC
Entity owners
- Dawson Holdings LLC · Ownerdirect · owns 25% to 50%
- Leavitt Holdings LLC · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Henderson, Nv · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Feb 24, 2026 to Jul 7, 2026
- Employees · 4 to 5Feb 24, 2026 to Jul 7, 2026
- State-registered IARs · 4 to 5Feb 24, 2026 to Jul 7, 2026
- Accounts · 537 to 551Nov 18, 2025 to Feb 24, 2026
- Advisory employees · 3 to 2Nov 18, 2025 to Feb 24, 2026
- HNW clients · 90 to 92Nov 18, 2025 to Feb 24, 2026
- Individual clients · 109 to 106Nov 18, 2025 to Feb 24, 2026
- Assets in custody · $144M to $168MNov 18, 2025 to Feb 24, 2026
- Employees · 6 to 4Nov 18, 2025 to Feb 24, 2026
- Discretionary RAUM · $360M to $408MNov 18, 2025 to Feb 24, 2026
- HNW RAUM · $269M to $309MNov 18, 2025 to Feb 24, 2026
- Individual RAUM · $42.4M to $49.1MNov 18, 2025 to Feb 24, 2026
- RAUM · $360M to $408MNov 18, 2025 to Feb 24, 2026
- Accounts · 578 to 537Jan 3, 2025 to Mar 13, 2025
- Advisory employees · 4 to 3Jan 3, 2025 to Mar 13, 2025
- Charity clients · 2 to 1Jan 3, 2025 to Mar 13, 2025
- HNW clients · 97 to 90Jan 3, 2025 to Mar 13, 2025
- Individual clients · 153 to 109Jan 3, 2025 to Mar 13, 2025
- Assets in custody · $133M to $144MJan 3, 2025 to Mar 13, 2025
- Employees · 5 to 6Jan 3, 2025 to Mar 13, 2025
- Financial planning clients · 11-25 to 11-25Jan 3, 2025 to Mar 13, 2025
- State-registered IARs · 5 to 4Jan 3, 2025 to Mar 13, 2025
- Discretionary RAUM · $321M to $360MJan 3, 2025 to Mar 13, 2025
- HNW RAUM · $233M to $269MJan 3, 2025 to Mar 13, 2025
- Individual RAUM · $41.5M to $42.4MJan 3, 2025 to Mar 13, 2025
- RAUM · $321M to $360MJan 3, 2025 to Mar 13, 2025
- Advisory employees · 2 to 4Mar 26, 2024 to Apr 16, 2024
- Employees · 3 to 5Mar 26, 2024 to Apr 16, 2024
- State-registered IARs · 3 to 5Mar 26, 2024 to Apr 16, 2024
- Accounts · 732 to 578Sep 29, 2023 to Mar 26, 2024
- Advisory activities · 3 to 2Sep 29, 2023 to Mar 26, 2024
- HNW clients · 86 to 97Sep 29, 2023 to Mar 26, 2024
- Individual clients · 235 to 153Sep 29, 2023 to Mar 26, 2024
- Assets in custody · $153M to $133MSep 29, 2023 to Mar 26, 2024
- Employees · 5 to 3Sep 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $314M to $321MSep 29, 2023 to Mar 26, 2024
- HNW RAUM · $221M to $233MSep 29, 2023 to Mar 26, 2024
- Individual RAUM · $52.2M to $41.5MSep 29, 2023 to Mar 26, 2024
- RAUM · $314M to $321MSep 29, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2May 17, 2023 to Jul 11, 2023
Signals
10 dated events
- Ryan Patrick Mack left Capstone Capital Wealth Advisors for Clark Asset Management, Llc (registered 2025-04-22)Mar 6, 2025 · Advisor changed firm · fact
- Leigh Jennifer Johns (Chief Compliance Officer) no longer on Schedule A of Capstone Capital Wealth Advisors (listed 2024-04-16, absent 2024-09-03)Sep 3, 2024 · Control person left · inference
- Kyle Wade Price left Capstone Capital Wealth Advisors for Cambridge Investment Research Advisors, Inc. (registered 2023-08-30)Jul 11, 2023 · Advisor changed firm · fact
- Leigh Jennifer Johns (Chief Compliance Officer) appeared on Schedule A of Capstone Capital Wealth AdvisorsMay 17, 2023 · Control person joined · fact
- S Jacqueline Benjamin (Chief Compliance Officer) no longer on Schedule A of Capstone Capital Wealth Advisors (listed 2022-09-28, absent 2022-11-28)Nov 28, 2022 · Control person left · inference
- Jacqueline S Benjamin Hatherley left Capstone Capital Wealth Advisors for The Retirement Solutions Group (registered 2022-12-01)Oct 31, 2022 · Advisor changed firm · fact
- Alexi Howie left Capstone Capital Wealth Advisors for Cambridge Investment Research Advisors, Inc. (registered 2022-08-22)Aug 23, 2022 · Advisor changed firm · fact
- Lynn Jeffrey Burr (Co-Founder) no longer on Schedule A of Capstone Capital Wealth Advisors (listed 2022-01-05, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- S Jacqueline Benjamin (Chief Compliance Officer) appeared on Schedule A of Capstone Capital Wealth AdvisorsFeb 1, 2022 · Control person joined · fact
- Capstone Capital Group filed its initial SEC registration (Form ADV)Jun 22, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 702-433-7588reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2829845reportedpublic record, Form ADV, Sep 17, 2026
- Website
- CAPSTONECAP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 702-433-7588reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- capstonecap.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- capstonecap.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $81.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026