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 Wealth Management Group, LLC
Latest filing Jul 29, 2026
First filing on the tape Nov 15, 2011 · 27 filings
SEC status approved since Feb 1, 2006
RAUM
$266M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$266M as of Jul 29, 2026
Mar 27, 2012$91.5M then
HNW client RAUM$208M as of Jul 29, 2026
Mar 31, 2018$36.2M then
State-registered IARs (5.B.3)6 as of Jul 29, 2026
Mar 20, 20136 then
Employees (5.A)6 as of Jul 29, 2026
Mar 20, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 6 to 6offices 2 to 0
Practice profile
derived from the filing of Jul 29, 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
- RAUM per advisor
- $44.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $371,066derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$208M78%
- Individuals$58.5M22%
- Individual clients
- 212reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 717reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Joseph John Serrapede to Northwind Financial LLCJul 28, 2026 · RIA to RIA
- Lora Lynn Leavenworth to Tieton Capital ManagementDec 5, 2012 · Other
- Suzanne Lynn Daniel to Sii Investments, Inc.Dec 5, 2012 · Other
Joined, latest
- Loren Thomas Gard from Osaic Wealth, Inc.Nov 16, 2006 · Other
- James Michael Conrads from Cambridge Investment Research, Inc.Sep 8, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Capstone Wealth Management Group, Inc.Jul 28, 2026 · Bend, Or · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael James Conrads · Managing Member/Principalcontrolsince 03/2009 · owns 75% or more
- John Kevin Serrapede · Chief Compliance Officercontrolsince 10/2006 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Bend, Or · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 2 to 0Mar 11, 2026 to Jul 29, 2026
- Accounts · 708 to 717Jul 11, 2025 to Mar 11, 2026
- HNW clients · 98 to 83Jul 11, 2025 to Mar 11, 2026
- Individual clients · 231 to 212Jul 11, 2025 to Mar 11, 2026
- Discretionary RAUM · $197M to $218MJul 11, 2025 to Mar 11, 2026
- HNW RAUM · $154M to $208MJul 11, 2025 to Mar 11, 2026
- Individual RAUM · $78.7M to $58.5MJul 11, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $35.9M to $47.7MJul 11, 2025 to Mar 11, 2026
- RAUM · $233M to $266MJul 11, 2025 to Mar 11, 2026
- Advisory employees · 4 to 5May 19, 2025 to Jul 11, 2025
- Financial planning clients · 0 to 0May 19, 2025 to Jul 11, 2025
- Accounts · 713 to 708Dec 10, 2024 to Apr 30, 2025
- HNW clients · 80 to 98Dec 10, 2024 to Apr 30, 2025
- Individual clients · 146 to 231Dec 10, 2024 to Apr 30, 2025
- Employees · 4 to 6Dec 10, 2024 to Apr 30, 2025
- State-registered IARs · 4 to 6Dec 10, 2024 to Apr 30, 2025
- Other offices · 0 to 2Dec 10, 2024 to Apr 30, 2025
- Discretionary RAUM · $168M to $197MDec 10, 2024 to Apr 30, 2025
- HNW RAUM · $151M to $154MDec 10, 2024 to Apr 30, 2025
- Individual RAUM · $53.8M to $78.7MDec 10, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $36.9M to $35.9MDec 10, 2024 to Apr 30, 2025
- RAUM · $205M to $233MDec 10, 2024 to Apr 30, 2025
- Accounts · 278 to 713Apr 6, 2023 to Mar 31, 2024
- HNW clients · 82 to 80Apr 6, 2023 to Mar 31, 2024
- Individual clients · 196 to 146Apr 6, 2023 to Mar 31, 2024
- Discretionary RAUM · $152M to $168MApr 6, 2023 to Mar 31, 2024
- HNW RAUM · $129M to $151MApr 6, 2023 to Mar 31, 2024
- Individual RAUM · $55.1M to $53.8MApr 6, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $32.3M to $36.9MApr 6, 2023 to Mar 31, 2024
- RAUM · $184M to $205MApr 6, 2023 to Mar 31, 2024
- Related insurance company · false to trueApr 6, 2023 to Mar 31, 2024
- Accounts · 267 to 278Mar 31, 2022 to Mar 28, 2023
- HNW clients · 104 to 82Mar 31, 2022 to Mar 28, 2023
- Individual clients · 163 to 196Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $161M to $152MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $160M to $129MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $39.1M to $55.1MMar 31, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $38.4M to $32.3MMar 31, 2022 to Mar 28, 2023
- RAUM · $199M to $184MMar 31, 2022 to Mar 28, 2023
- Accounts · 670 to 267Apr 1, 2021 to Mar 31, 2022
Signals
2 dated events
- Joseph John Serrapede left Capstone Wealth Management Group, Llc for Northwind Financial Llc (registered 2026-07-07)Jul 28, 2026 · Advisor changed firm · fact
- Capstone Wealth Management Group, LLC's advisors moved to Capstone Wealth Management Group, Inc. (Bend, OR): 5 of 7 registered, on the same dayJul 28, 2026 · Firm absorbed (people side) · derived
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
- Principal office phone
- 541-330-0266reportedpublic record, Form ADV, Dec 10, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026