Capital Client Group, Inc.
Registered investment adviser · Los Angeles, CA · CRD #6247
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
911
Disclosure events
1
Firm details
- Website: https://retirementsolutions.financialtrans.com/tf/myplan/mpnwelcome?cz=3000518
- Telephone: 213-486-9200
- SEC file number: 801-77946
- Most recent Form ADV filing: 2026-08-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator found a violation of investment-related regulations or statutes
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 911 |
| Employees performing investment advisory functions (including research) | 699 |
| Employees who are registered representatives of a broker-dealer | 697 |
| Employees registered as investment adviser representatives with a state | 699 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 112 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients