Capital Strategies Investment Group LLC (Oakbrook Terrace)

Name: Capital Strategies Investment Group LLC
Address: One Parkview Plaza, Oakbrook Terrace, IL, 60181
Telephone: 630-320-5100

Capital Strategies Investment Group LLC is a large advisory firm based in Oakbrook Terrace. It manages $13.78 billion of regulatory assets for 810 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Florida, Illinois, Indiana, and 3 other states.

Capital Strategies Investment Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Strategies Investment Group: assets under management

The assets under management (AUM) of Capital Strategies Investment Group LLC is $13.78 billion. The firm's AUM has grown by 640% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.41 billion in discretionary accounts and $11.36 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.34 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $130.6 million.

Investments

The firm invests in investment and business development companies the most. They account for 72% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 14% of the firm’s portfolio. Investments in exchange traded securities form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Strategies Investment Group LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Capital Strategies Investment Group serves?

The firm provides services to individuals, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Capital Strategies Investment Group is pension and profit sharing plans with 62 clients and $12.12 billion of assets under management. Among the 7 most similar advisory firms, Capital Strategies Investment Group has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $13.75 billion for 239 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 5% of the firm’s clients are foreign persons or businesses.

Capital Strategies Investment Group doesn't advise any private funds.

Careers at Capital Strategies Investment Group LLC

The company employs 20 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Barbara Jean Best	Chief compliance officer/managing member	1 Feb 2009	25% - 50%	4681158
Barbara Jean Best	Managing member	1 Jun 2009	25% - 50%	4681158
William F Woodall	Chief compliance officer/managing member	1 Jun 2009	50% - 75%	4367091
Nancy M Rizzuto	Managing member	1 Jun 2009	Other	4206348
William Franklin Woodall	Chief compliance officer/managing member	1 Jun 2009	50% - 75%	4367091
Nancy Marie Rizzuto	Managing member	1 Jun 2009	Other	4206348
Alison Anne Bettonville	Member	1 Jan 2015	Other	5441063
Michael Adrian Rarey	Member	1 Jan 2016	Other	6623048
Michael Alan Warford	Member	1 Jan 2018	Other	5913780

Based in Oakbrook Terrace

The principal office where Capital Strategies Investment Group LLC performs its advisory services is located at One Parkview Plaza, Oakbrook Terrace, IL 60181, which is also the mailing address of the firm. An additional office of the firm is in Juipter, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 630-320-5100 or by fax 630-320-5107. The normal business hours are 8am to 5pm on Monday - Friday. You can find more information about the New York firm at capstratig.com.