DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••• W••••• P•••••••
Legal name C••••••• W••••• P•••••••• L•••
Latest filing Jun 15, 2026
First filing on the tape Feb 23, 2026 · 4 filings
SEC status approved since Mar 31, 2026
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$115M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$38.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$115M as of Jun 15, 2026
Feb 23, 2026$115M then
HNW client RAUM$86.2M as of Jun 15, 2026
Feb 23, 2026$86.2M then
State-registered IARs (5.B.3)3 as of Jun 15, 2026
Feb 23, 20263 then
Employees (5.A)4 as of Jun 15, 2026
Feb 23, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 15, 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
- $38.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $199,069derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $49.3M, 87 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.2M75%
- Individuals$28.5M25%
- Corporations and businesses$185,7780.2%
- Individual clients
- 105reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 577reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.3M for 87 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• L•• S•••••••Chartered Financial Consultant | Dublin, Oh | Jan 21, 2010 | 21 y | 3 |
| J••••• S•••• M••••••••Certified Financial Planner, Chartered Financial Consultant | Dublin, Oh | Oct 8, 2021 | 24 y | 3 |
| B•• L•••••Certified Financial Planner | Dublin, Oh | Nov 21, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• S•••• M•••••••• from E•••• S••••••••• L••Oct 8, 2021 · Other
- R••• L•• S••••••• from E•••• S••••••••• L••Jan 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••••• S•••• · Chief Executive Officer & Membercontrolsince 11/2009 · owns 50% to 75%
- S•••••••• R•••• L•• · Chief Compliance Officer & Membercontrolsince 11/2009 · 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 |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 2Feb 23, 2026 to Apr 7, 2026
Signals
No event on the tape.
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 email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-754-7805reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/capstone-wealth-partnersreportedpublic record, Form ADV, Sep 21, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (614) 754-7805reportedpublic record, Form ADV, Jun 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $38.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026