Corecap Advisors

Registered investment adviser · Southfield, MI · CRD #158819

Form ADV data as of 2026-09-01

Regulatory assets

$3.99 billion

Total accounts

9,677

Employees

116

Disclosure events

Firm details

Website: http://www.romainfinancial.com
Telephone: 888-296-3360
SEC file number: 801-72687
Most recent Form ADV filing: 2026-03-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 6 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.

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$3.99 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$3.99 billion
Discretionary accounts	9,677
Non-discretionary accounts	0
Total accounts	9,677
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	116
Employees performing investment advisory functions (including research)	110
Employees who are registered representatives of a broker-dealer	62
Employees registered as investment adviser representatives with a state	116
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	86
Firms or persons who solicit advisory clients on the firm's behalf	5

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

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Accountant or accounting firmLawyer or law firmInsurance company or agency

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
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	8,735	$1.84 billion
High net worth individuals	936	$2.15 billion
Corporations or other businesses not listed above	6	$585,876