Capital Region Financial Group, LLC (Folsom)

Name: Capital Region Financial Group, LLC
Address: 101 Parkshore Drive, Folsom, CA, 95630
Telephone: 916-985-6000

Capital Region Financial Group, LLC is a large advisory firm based in Folsom. It manages $102.7 million of regulatory assets for 240 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdiction of California.

Capital Region Financial 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 less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Region Financial Group: assets under management

The assets under management (AUM) of Capital Region Financial Group, LLC is $102.7 million. The firm's AUM has grown by 3% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $18.5 million in discretionary accounts and $84.2 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $84.47 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.01 million.

Investments

The firm invests in pooled investment vehicles the most. They account for 40% of the total AUM. The second-largest asset type is exchange traded securities, which make up 30% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Region Financial Group, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Capital Region Financial Group serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Capital Region Financial Group is pension and profit sharing plans with 25 clients and $43.5 million of assets under management. Among the 10 most similar advisory firms, Capital Region Financial Group has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $87 million for 66 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Capital Region Financial Group doesn't advise any private funds.

Careers at Capital Region Financial Group, LLC

The company employs 4 people that are either part- or full-time employees. 50 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives 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 compensates 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
Ellwood Leroy Jones	Sole member, president & chief compliance officer	1 Jul 2000	75% - 100%	1926973

Based in Folsom

The principal office where Capital Region Financial Group, LLC performs its advisory services is located at 101 Parkshore Drive, Folsom, CA 95630, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 916-985-6000 or by fax 916-985-6055. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at crfg-llc.com and its LinkedIn profile.