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, Inc.
Latest filing Jul 9, 2026
First filing on the tape Jan 27, 2026 · 4 filings
SEC status approved since Feb 27, 2026
RAUM
$243M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$243M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$48.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$243M as of Jul 9, 2026
Jan 27, 2026$0 then
HNW client RAUM$198M as of Jul 9, 2026
Jun 26, 2026$198M then
State-registered IARs (5.B.3)5 as of Jul 9, 2026
Jan 27, 20266 then
Employees (5.A)5 as of Jul 9, 2026
Jan 27, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 9, 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
- $48.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $401,653derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- 2.5derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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$198M81%
- Individuals$45.0M19%
- Individual clients
- 175reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 605reported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Michael ConradsCertified Financial Planner | Bend, Or | Feb 27, 2026 | 24 y | 3 |
| Devon A. Gaines | Bend, Or | Feb 27, 2026 | 17 y | 1 |
| Tiffany Michelle Setzke Forste | Bend, Or | Feb 27, 2026 | 18 y | 1 |
| Loren Thomas GardCertified Financial Planner | Bend, Or | Feb 27, 2026 | 26 y | 2 |
| Ronald Raymond StonerCertified Financial Planner | Boulder, Co | Mar 2, 2026 | 20 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- Kevin John Serrapede to Northwind Financial LLCJul 9, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from Capstone Wealth Management Group, LLCJul 28, 2026 · Bend, Or · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michelle Setzke Tiffany Forste · Chief Compliance Officercontrolsince 04/2026 · owns less than 5%
- A. Devon Gaines · Managing Partner, Director, Presidentcontrolsince 10/2025 · owns 25% to 50%
- Thomas Loren Gard · Managing Partner, Principal, Director, Secretarycontrolsince 10/2025 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bend, Or · principal | 5 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Jun 26, 2026 to Jul 9, 2026
- Employees · 6 to 5Jun 26, 2026 to Jul 9, 2026
- Insurance-licensed employees · 6 to 5Jun 26, 2026 to Jul 9, 2026
- State-registered IARs · 6 to 5Jun 26, 2026 to Jul 9, 2026
- Other offices · 2 to 1Jun 26, 2026 to Jul 9, 2026
- Accounts · 0 to 605May 12, 2026 to Jun 26, 2026
- Charity clients · unset to 0.0May 12, 2026 to Jun 26, 2026
- Corporate clients · unset to 0.0May 12, 2026 to Jun 26, 2026
- HNW clients · unset to 80.0May 12, 2026 to Jun 26, 2026
- Individual clients · unset to 175.0May 12, 2026 to Jun 26, 2026
- Pension plan clients · unset to 0.0May 12, 2026 to Jun 26, 2026
- Pooled vehicle clients · unset to 0.0May 12, 2026 to Jun 26, 2026
- Discretionary RAUM · $0 to $238MMay 12, 2026 to Jun 26, 2026
- HNW RAUM · unset to 198000000.0May 12, 2026 to Jun 26, 2026
- Individual RAUM · unset to 45000000.0May 12, 2026 to Jun 26, 2026
- Non-discretionary RAUM · $0 to $5.0MMay 12, 2026 to Jun 26, 2026
- Pension RAUM · unset to 0.0May 12, 2026 to Jun 26, 2026
- Pooled vehicle RAUM · unset to 0.0May 12, 2026 to Jun 26, 2026
- RAUM · $0 to $243MMay 12, 2026 to Jun 26, 2026
Signals
2 dated events
- 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
- Kevin John Serrapede left Capstone Wealth Management Group, Inc. for Northwind Financial Llc (registered 2026-05-29)Jul 9, 2026 · Advisor changed firm · 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 email
- amy@capstonewmg.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-330-0266reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- capstonewmg.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 541.330.0266reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- capstonewmg.com/contactreportedpublished 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
- $48.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026