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

Cap Strat

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 150091SEC 801-70212websiteIAPD
Legal name Capital Strategies Investment Group LLC
Latest filing Jul 7, 2025
First filing on the tape Apr 10, 2012 · 27 filings
SEC status approved since May 26, 2009
RAUM
$21B
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
3.5%
$744M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
12 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$21B as of Jul 7, 2025
Apr 10, 2012$5.3B then
HNW client RAUM$732M as of Jul 7, 2025
Mar 20, 2018$372M then
State-registered IARs (5.B.3)6 as of Jul 7, 2025
Apr 10, 20120 then
Employees (5.A)23 as of Jul 7, 2025
Mar 22, 201317 then
Private funds: no history
RAUM +11% over the last fiscal year+1.5% a year over threeIARs 5 to 6offices 1 to 0
Practice profile
derived from the filing of Jul 7, 2025; every figure names its basis
RAUM per advisor
$3.5BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
34derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$19.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.8derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.1%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$19B87%
  • Corporations and businesses$1.8B8.5%
  • High-net-worth individuals$732M3.4%
  • Charitable organizations$95.6M0.4%
  • Banks and thrifts$46.6M0.2%
  • Individuals$11.8M0.1%
Individual clients
27reported
HNW clients
179reported
Pension plan clients
105reported
Charitable clients
9reported
Accounts
1,069reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
8 left, 0 joined in 12 months
net -8 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jean Barbara Best · Managing Membercontrol
      since 06/2009 · owns less than 5%
    • Anne Alison Bettonville · Membercontrol
      since 01/2015 · owns less than 5%
    • Anthony Neil Davies · Membercontrol
      since 01/2021 · owns less than 5%
    • Adrian Michael Rarey · Membercontrol
      since 01/2016 · owns less than 5%
    • Marie Nancy Rizzuto · Managing Membercontrol
      since 06/2009 · owns less than 5%
    • Alan Michael Warford · Membercontrol
      since 01/2018 · owns less than 5%
    • Jean Barbara Best · Trusteecontrol
      since 12/2015 · owns F of Barbara Best Revocable Trust Dated December 31, 2015
    • Marie Nancy Rizzuto · Trusteecontrol
      since 01/2016 · owns F of Nancy M. Rizzuto Trust Dated January 29, 2016
    Entity owners
    • Barbara Best Revocable Trust Dated December 31, 2015 · Member
      direct · owns 50% to 75%
    • Nancy M. Rizzuto Trust Dated January 29, 2016 · Member
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Oakbrook Terrace, Il · principal008
    St Paul, Mn000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 101-250 to 101-250
      Feb 19, 2025 to Jul 7, 2025
    • Accounts · 2,100 to 1,069
      Nov 5, 2024 to Feb 19, 2025
    • Advisory employees · 11 to 12
      Nov 5, 2024 to Feb 19, 2025
    • Corporate clients · 15 to 18
      Nov 5, 2024 to Feb 19, 2025
    • HNW clients · 182 to 179
      Nov 5, 2024 to Feb 19, 2025
    • Individual clients · 35 to 27
      Nov 5, 2024 to Feb 19, 2025
    • Employees · 22 to 23
      Nov 5, 2024 to Feb 19, 2025
    • State-registered IARs · 5 to 6
      Nov 5, 2024 to Feb 19, 2025
    • Discretionary RAUM · $4.9B to $5.3B
      Nov 5, 2024 to Feb 19, 2025
    • HNW RAUM · $691M to $732M
      Nov 5, 2024 to Feb 19, 2025
    • Individual RAUM · $20.1M to $11.8M
      Nov 5, 2024 to Feb 19, 2025
    • Non-discretionary RAUM · $14B to $16B
      Nov 5, 2024 to Feb 19, 2025
    • Pension RAUM · $16B to $19B
      Nov 5, 2024 to Feb 19, 2025
    • RAUM · $19B to $21B
      Nov 5, 2024 to Feb 19, 2025
    • Other offices · 1 to 0
      Apr 29, 2024 to Nov 5, 2024
    • Accounts · 1,013 to 2,100
      Mar 27, 2023 to Mar 22, 2024
    • Advisory employees · 12 to 11
      Mar 27, 2023 to Mar 22, 2024
    • Charity clients · 7 to 9
      Mar 27, 2023 to Mar 22, 2024
    • Corporate clients · 18 to 15
      Mar 27, 2023 to Mar 22, 2024
    • HNW clients · 170 to 182
      Mar 27, 2023 to Mar 22, 2024
    • Individual clients · 33 to 35
      Mar 27, 2023 to Mar 22, 2024
    • Pension plan clients · 103 to 105
      Mar 27, 2023 to Mar 22, 2024
    • Employees · 25 to 22
      Mar 27, 2023 to Mar 22, 2024
    • State-registered IARs · 6 to 5
      Mar 27, 2023 to Mar 22, 2024
    • Discretionary RAUM · $6.7B to $4.9B
      Mar 27, 2023 to Mar 22, 2024
    • HNW RAUM · $670M to $691M
      Mar 27, 2023 to Mar 22, 2024
    • Individual RAUM · $19.2M to $20.1M
      Mar 27, 2023 to Mar 22, 2024
    • Non-discretionary RAUM · $11B to $14B
      Mar 27, 2023 to Mar 22, 2024
    • Pension RAUM · $15B to $16B
      Mar 27, 2023 to Mar 22, 2024
    • RAUM · $17B to $19B
      Mar 27, 2023 to Mar 22, 2024
    • Accounts · 878 to 1,013
      Apr 18, 2022 to Mar 27, 2023
    • Advisory employees · 10 to 12
      Apr 18, 2022 to Mar 27, 2023
    • Charity clients · 8 to 7
      Apr 18, 2022 to Mar 27, 2023
    • Corporate clients · 16 to 18
      Apr 18, 2022 to Mar 27, 2023
    • HNW clients · 152 to 170
      Apr 18, 2022 to Mar 27, 2023
    • Individual clients · 27 to 33
      Apr 18, 2022 to Mar 27, 2023
    • Pension plan clients · 130 to 103
      Apr 18, 2022 to Mar 27, 2023
    • Employees · 22 to 25
      Apr 18, 2022 to Mar 27, 2023
    • Discretionary RAUM · $7.9B to $6.7B
      Apr 18, 2022 to Mar 27, 2023
    • HNW RAUM · $660M to $670M
      Apr 18, 2022 to Mar 27, 2023
    Signals
    16 dated events
    • Cap Strat no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $21.3B)
      Jan 2, 2026 · Left the SEC roster · derived
    • Carrie Walters Shapiro left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-23)
      Dec 10, 2025 · Advisor changed firm · fact
    • Colin Michael Rogers left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-01)
      Dec 10, 2025 · Advisor changed firm · fact
    • Molly Mcquillan Powers left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-23)
      Dec 10, 2025 · Advisor changed firm · fact
    • Michael Alan Warford left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-07-22)
      Dec 10, 2025 · Advisor changed firm · fact
    • Alison Anne Bettonville left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
      Dec 10, 2025 · Advisor changed firm · fact
    • Michael Adrian Rarey left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
      Dec 10, 2025 · Advisor changed firm · fact
    • Amy Lynn Sullivan left Cap Strat for Creative Planning Institutional Advisors, Llc (registered 2025-08-14)
      Dec 10, 2025 · Advisor changed firm · fact
    • Neil Anthony Davies left Cap Strat for Creative Planning (registered 2026-02-17)
      Dec 10, 2025 · Advisor changed firm · fact
    • Cap Strat's advisors moved to Creative Planning Institutional Advisors, LLC (Oakbrook Terrace, IL): 7 of 8 registered, on the same day
      Dec 10, 2025 · Firm absorbed (people side) · derived
    • Michael Gregory Babicz left Cap Strat for Pine Grove Financial Group (registered 2025-10-21)
      Aug 22, 2025 · Advisor changed firm · fact
    • Marie Janet Woodall (Trustee) no longer on Schedule A of Cap Strat (listed 2024-04-29, absent 2024-11-05)
      Nov 5, 2024 · Control person left · inference
    • Franklin William Woodall (Chief Compliance Officer/Managing Member) no longer on Schedule A of Cap Strat (listed 2023-03-27, absent 2024-03-22)
      Mar 22, 2024 · Control person left · inference
    • Marie Janet Woodall (Trustee) appeared on Schedule A of Cap Strat
      Mar 22, 2024 · Control person joined · fact
    • Anthony Neil Davies (Member) appeared on Schedule A of Cap Strat
      Apr 18, 2022 · Control person joined · fact
    • Cap Strat reported RAUM $13.7B, up 29% from $10.6B (2017-11-03 to 2018-03-20)
      Mar 20, 2018 · RAUM change · derived
    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