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CAPSTONE FINANCIAL ADVISORS INC
CRD 109341File 801-56979
APPROVED
Retail clients
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.87B
Top 25% of cohort (national)
Discretionary AUM
$2.86B
Non-discretionary $7.9M
Clients
1,072
4,173 accounts
Employees
30
Top 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Nov 16, 1999
- Principal office
- 2001 BUTTERFIELD ROAD, SUITE 1750, DOWNERS GROVE, IL, 60515
- Phone
- 630-241-0833
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.87B
- Discretionary AUM
- $2.86B
- Non-discretionary AUM
- $7.9M
- Discretionary accounts
- 4,164
- Non-discretionary accounts
- 9
- Total accounts
- 4,173
- AUM per client
- $2.7M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $3.2M |
| High net worth individuals | 376 | $2.59B |
| Pension and profit sharing plans | 4 | $7.1M |
| Individuals (other than high net worth individuals) | 692 | $263.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — FIXED QUARTERLY RETAINERS
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 906 | 1,072 | increased by166 |
| Apr 1, 2026 | AUM | $2,441,937,272 | $2,868,074,312 | increased by$426,137,040 |
| Apr 1, 2026 | Accounts | 4,008 | 4,173 | increased by165 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 27 | 30 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 566 | 906 | increased by340 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,098,963,697 | $2,441,937,272 | increased by$342,973,575 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,718 | 4,008 | increased by1,290 |
| Apr 1, 2022 | Employees | 28 | 27 | decreased by1 |
| Apr 1, 2022 | Clients | 521 | 566 | increased by45 |
| Apr 1, 2022 | AUM | $1,836,630,941 | $2,098,963,697 | increased by$262,332,756 |
| Apr 1, 2022 | Accounts | 2,474 | 2,718 | increased by244 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPSTONE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPSTONE FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.