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CAPITAL GAINS INCORPORATED
Legal name: CAPITAL GAINS INC
CRD 111717File 801-41787
APPROVED
Filing as of Jan 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$166.6M
Bottom 25% of cohort (national)
Discretionary AUM
$166.6M
Clients
9
9 accounts
Employees
3
Bottom 25% of cohort in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jun 23, 1992
- Principal office
- 8060 W. OAKTON STREET, SUITE 102, NILES, IL, 60714
- Phone
- 847-318-9975
- Website
- HTTP://WWW.CAPGNS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $166.6M
- Discretionary AUM
- $166.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 9
- Non-discretionary accounts
- 0
- Total accounts
- 9
- AUM per client
- $18.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 2 | $5.3M |
| State or municipal government entities | 7 | $161.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for other
- Portfolio management for businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- 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 |
|---|---|---|---|---|
| Feb 1, 2026 | AUM | $126,695,848 | $166,571,646 | increased by$39,875,798 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 1 | 3 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 12 | 9 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $114,674,239 | $126,695,848 | increased by$12,021,609 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 12 | 9 | decreased by3 |
| Mar 1, 2022 | Clients | 13 | 12 | decreased by1 |
| Mar 1, 2022 | AUM | $142,817,573 | $114,674,239 | decreased by$28,143,334 |
| Mar 1, 2022 | Accounts | 13 | 12 | decreased by1 |
| 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 “CAPITAL GAINS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPITAL GAINS” 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.