C
Capstone Wealth Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$27,683,813
Clients
160
0% high-net-worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
160
Very HighAverage account size
$173,024
About
The firm provides portfolio management (both discretionary and non‑discretionary) and financial planning to individual investors and certain pension and profit‑sharing plans. Its client base is largely composed of non‑high‑net‑worth individuals rather than affluent or ultra‑affluent households.
Portfolios are constructed to match each client's stated objectives and risk tolerance, with a focus on investment company securities such as mutual funds and ETFs and the use of model portfolios; the firm may also appoint sub‑advisers to manage portions of accounts. Tax efficiency is not the primary management objective, and advisory recommendations are coordinated with accounting and pension‑related considerations when relevant.
The firm is affiliated with an accounting practice and an insurance agency, an uncommon combination among peers that may give rise to referrals to affiliated accounting, pension administration, or insurance services (clients are not required to use affiliates). The firm discloses that its principal spends substantial time on accounting and pension consulting and also reports a 2022 regulatory order related to corporate securities law.
Client services
Financial planning
Portfolio management
Selection of other advisers
Fee options
Fixed fees for broad-based financial planning generally from $250 to $750, negotiable depending on complexity
0.75% to 2.75%, negotiable based on individual client circumstances
$75 to $200 per hour for single subject financial planning/consulting services, negotiable
Account minimum: No minimum stated; firm may terminate accounts deemed too small to manage effectively Fee-only: Portfolio management fees are based on assets under management ranging from 0.75% to 2.75% annually, negotiable; financial planning fixed fees $250 to $750; hourly financial consulting $75 to $200 per hour.
Main office location
Capstone Wealth Management, Inc.
901 W. Civic Center Dr., Suite 160
Santa Ana CA 92703, United States
Number of offices
1
Most active in
Capstone Wealth Management, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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