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 Point Financial Group, Ltd.

Former SEC-registered adviserGlenview, IllinoisCRD 171867SEC 801-113136IAPD
Latest filing Feb 13, 2023
First filing on the tape Apr 3, 2018 · 10 filings
RAUM
$313M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$309M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$313M as of Feb 13, 2023
Mar 20, 2019$186M then
HNW client RAUM$213M as of Feb 13, 2023
Mar 20, 2019$82.6M then
State-registered IARs (5.B.3)11 as of Feb 13, 2023
Mar 20, 20197 then
Employees (5.A)13 as of Feb 13, 2023
Mar 20, 20199 then
Private funds: no history
RAUM -4.4% over the last fiscal year+5.0% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Feb 13, 2023; every figure names its basis
RAUM per advisor
$28.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$721,424derivedHNW RAUM over HNW clients
Average account
$194,890derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
3.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-4.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$136MreportedItem 5.I
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
  • High-net-worth individuals$213M68%
  • Individuals$96.1M31%
  • Pension and profit-sharing plans$3.5M1.1%
  • Charitable organizations$271,2720.1%
Individual clients
633reported
HNW clients
295reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
1,604reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Joined, latest
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
    • Michael John Selzer · Principal And Chief Compliance Officercontrol
      since 06/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Glenview, Il · principal000
    Sarasota, Fl000
    Offices
    Schedule D 1.F, the 25 largest
    • Sarasota, FL5 employees
    • Fort Collins, CO1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,362 to 1,604
      Mar 22, 2022 to Feb 13, 2023
    • Advisory employees · 11 to 10
      Mar 22, 2022 to Feb 13, 2023
    • BD registered reps · 12 to 11
      Mar 22, 2022 to Feb 13, 2023
    • Charity clients · 1 to 2
      Mar 22, 2022 to Feb 13, 2023
    • HNW clients · 253 to 295
      Mar 22, 2022 to Feb 13, 2023
    • Individual clients · 552 to 633
      Mar 22, 2022 to Feb 13, 2023
    • Pension plan clients · 3 to 2
      Mar 22, 2022 to Feb 13, 2023
    • Employees · 14 to 13
      Mar 22, 2022 to Feb 13, 2023
    • HNW RAUM · $227M to $213M
      Mar 22, 2022 to Feb 13, 2023
    • Individual RAUM · $96.0M to $96.1M
      Mar 22, 2022 to Feb 13, 2023
    • Non-discretionary RAUM · $327M to $313M
      Mar 22, 2022 to Feb 13, 2023
    • Pension RAUM · $3.5M to $3.5M
      Mar 22, 2022 to Feb 13, 2023
    • RAUM · $327M to $313M
      Mar 22, 2022 to Feb 13, 2023
    • Accounts · 2,340 to 1,362
      Apr 7, 2021 to Mar 22, 2022
    • Advisory employees · 10 to 11
      Apr 7, 2021 to Mar 22, 2022
    • Advisory activities · 2 to 3
      Apr 7, 2021 to Mar 22, 2022
    • BD registered reps · 11 to 12
      Apr 7, 2021 to Mar 22, 2022
    • Charity clients · unset to 1.0
      Apr 7, 2021 to Mar 22, 2022
    • HNW clients · 83 to 253
      Apr 7, 2021 to Mar 22, 2022
    • Individual clients · 941 to 552
      Apr 7, 2021 to Mar 22, 2022
    • Pension plan clients · unset to 3.0
      Apr 7, 2021 to Mar 22, 2022
    • Employees · 13 to 14
      Apr 7, 2021 to Mar 22, 2022
    • Financial planning clients · 101-250 to 251-500
      Apr 7, 2021 to Mar 22, 2022
    • State-registered IARs · 10 to 11
      Apr 7, 2021 to Mar 22, 2022
    • HNW RAUM · $168M to $227M
      Apr 7, 2021 to Mar 22, 2022
    • Individual RAUM · $169M to $96.0M
      Apr 7, 2021 to Mar 22, 2022
    • Non-discretionary RAUM · $337M to $327M
      Apr 7, 2021 to Mar 22, 2022
    • Pension RAUM · unset to 3454537.0
      Apr 7, 2021 to Mar 22, 2022
    • RAUM · $337M to $327M
      Apr 7, 2021 to Mar 22, 2022
    • Accounts · 1,654 to 2,340
      Sep 30, 2020 to Mar 29, 2021
    • BD registered reps · 10 to 11
      Sep 30, 2020 to Mar 29, 2021
    • HNW clients · 87 to 83
      Sep 30, 2020 to Mar 29, 2021
    • Individual clients · 548 to 941
      Sep 30, 2020 to Mar 29, 2021
    • Employees · 14 to 13
      Sep 30, 2020 to Mar 29, 2021
    • HNW RAUM · $184M to $168M
      Sep 30, 2020 to Mar 29, 2021
    • Individual RAUM · $85.7M to $169M
      Sep 30, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $270M to $337M
      Sep 30, 2020 to Mar 29, 2021
    • RAUM · $270M to $337M
      Sep 30, 2020 to Mar 29, 2021
    • Wrap assets (manager) · unset to 0.0
      Sep 30, 2020 to Mar 29, 2021
    • Wrap assets (sponsor) · unset to 0.0
      Sep 30, 2020 to Mar 29, 2021
    Signals
    13 dated events
    • Matthew John Fountain left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2023-12-20)
      Jan 8, 2024 · Advisor changed firm · fact
    • David William Chadwick left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2023-12-20)
      Jan 8, 2024 · Advisor changed firm · fact
    • Brendan Michael Krahl left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2023-12-21)
      Jan 8, 2024 · Advisor changed firm · fact
    • John J Long left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2023-12-21)
      Jan 8, 2024 · Advisor changed firm · fact
    • Konrad Zagzebski left Capital Point Financial Group, Ltd. for Lpl Financial Llc (registered 2021-11-03)
      Jan 8, 2024 · Advisor changed firm · fact
    • Martin John Fogarty left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2024-04-02)
      Jan 8, 2024 · Advisor changed firm · fact
    • Patrick Gill left Capital Point Financial Group, Ltd. for Lpl Financial Llc (registered 2024-03-05)
      Jan 8, 2024 · Advisor changed firm · fact
    • Casey W Moss left Capital Point Financial Group, Ltd. for Total Clarity Wealth Management, Inc (registered 2023-12-18)
      Jan 8, 2024 · Advisor changed firm · fact
    • John Michael Selzer left Capital Point Financial Group, Ltd. for Allworth Financial, L.P. (registered 2024-01-02)
      Jan 8, 2024 · Advisor changed firm · fact
    • David Scott Hogaboom left Capital Point Financial Group, Ltd. for Lpl Financial Llc (registered 2021-04-14)
      Jan 8, 2024 · Advisor changed firm · fact
    • 3 advisors left Capital Point Financial Group, LTD. (Glenview, IL) for LPL Financial LLC on the same day
      Jan 8, 2024 · Team lift-out · derived
    • Capital Point Financial Group, LTD.'s advisors moved to Total Clarity Wealth Management, Inc (Glenview, IL): 5 of 10 registered, on the same day
      Jan 8, 2024 · Firm absorbed (people side) · derived
    • Capital Point Financial Group, Ltd. filed its initial SEC registration (Form ADV)
      Apr 3, 2018 · 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.
    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