CAPSTONE INVESTMENT GROUP
Compensation Model
Compensation type disclosed on SEC Form ADV Item 5C. Filed 46087. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.
Conflict of Interest Analysis
Broker-Dealer Affiliated: No
No broker-dealer affiliation. Lower risk of commission-driven advice.
Insurance Licensed: Yes
This firm can sell insurance products (annuities, life insurance). This creates an incentive to recommend these products even when alternatives may be more appropriate.
Custody of Client Assets: No
Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.
Proprietary Products: No
Uses only third-party investment products. No proprietary product conflicts.
Regulatory & Disciplinary History
1 regulatory action(s) disclosed on Form ADV Item 11.
ResolvedTotal complaints on record: 0
Complaint ratio: 0.00 per 100 clients
Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.
Firm Details
| Legal Name | CAPSTONE INVESTMENT GROUP |
| CRD Number | #159918 |
| SEC Registered | Yes |
| Registration Date | 2021-07-22 |
| States Registered | WA |
| Assets Under Management | $176M |
| Number of Clients | 9 |
| Employees | 13 |
| Compensation Type | fee-only |
| Last ADV Filing | 46087 |
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Frequently Asked Questions
Is CAPSTONE INVESTMENT GROUP a fiduciary?
Yes. CAPSTONE INVESTMENT GROUP is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.
How does CAPSTONE INVESTMENT GROUP charge clients?
CAPSTONE INVESTMENT GROUP uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.
Does CAPSTONE INVESTMENT GROUP have any complaints?
No. CAPSTONE INVESTMENT GROUP has zero complaints or disciplinary actions on file with the SEC or FINRA across 5 years of operation.
How does CAPSTONE INVESTMENT GROUP compare to other advisors in OLYMPIA?
CAPSTONE INVESTMENT GROUP has a Red Flag Score of 87/100. There are 5 registered advisory firms in OLYMPIA. Use our city page to compare firms side by side.
Where does this data come from?
All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.
Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46087. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.