M Aria Stein, OH Office
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Capital Analysts
Multi-team
Firm-wide stats for Capital Analysts
About
Capital Analysts serves a mix of retail and institutional clients — including individual and high‑net‑worth investors, trusts, foundations, businesses and charitable organizations — and provides portfolio management, advisor‑managed custom and model portfolios, access to third‑party managers, and ERISA/403(b) retirement‑plan advice. The firm delivers these services through a nationwide network of independent advisor representatives and firm‑managed CAAMS programs.
Investment management is delivered both on a discretionary basis by an in‑house Investment Management & Research (IM&R) team and on a non‑discretionary basis via advisors and third‑party managers; the IM&R team uses a proprietary mutual‑fund screening process called CAPSL to build mutual fund, ETF and equity model portfolios and offers tax‑aware and rebalancing options. Capital Analysts also serves as co‑adviser or promoter for third‑party managers and states its fiduciary obligations for retirement and tax‑advantaged accounts.
What is noteworthy in the brochure is the firm’s integration with Lincoln Investment and its institutional relationships with Pershing/BNY, which support its sweep products (including Dreyfus bank‑deposit and government cash sweep arrangements) and are the subject of detailed revenue‑sharing and conflict‑of‑interest disclosures. The firm also highlights institutional work with plan sponsors (including school districts and 403(b) arrangements and registration with CalSTRS), relationships with other investment advisers and trust companies, and a disclosed 2018 SEC settlement and client refunds related to mutual‑fund share‑class selection.
Based on Capital Analysts
Expertise
Based on Capital Analysts
Location
7990 State Rt. 119
M Aria Stein OH 45860
Advisors at this office
3
Advisors at this office
Troy P
Series 65, Series 63
MAria Stein, OH
Capital Analysts
Troy Prenger is a financial advisor with Capital Analysts, holding Series 65 and Series 63 credentials and bringing 13 years of industry experience. He previously worked at James Capital Alliance, Inc. and Lincoln Investment Planning, LLC. In addition to his advisory role, he is involved in insurance product sales and tax preparation for clients through the Leugers Insurance Agency. Capital Analysts serves a diverse client base including individual, high-net-worth, institutional, and charitable investors, providing portfolio management and retirement-plan advice through a nationwide network of independent advisors. The firm offers both discretionary and non-discretionary investment management, utilizing a proprietary mutual-fund screening process and maintaining institutional relationships supporting a range of financial products.
Garrett G
Maria Stein, OH
Capital Analysts
Garrett Gray is a financial advisor with Capital Analysts and has 11 years of industry experience. He has worked at Lincoln Investment since 2014 and has additional business activities in property and casualty insurance as a producer and agent. Capital Analysts serves retail and institutional clients, including high-net-worth investors and charitable organizations. The firm provides portfolio management through an in-house investment management team and independent advisors, offering custom portfolios, access to third-party managers, and retirement-plan advice.
Theodore B
ChFC®
Maria Stein, OH
Capital Analysts
Theodore Bertke is a ChFC® credentialed advisor with over 33 years of experience at Capital Analysts and Lincoln Investment. He has been associated with Capital Analysts since 1992 and Lincoln Investment since 2012. Outside his advisory work, he serves on the boards of the County Health Department and Mercer Health Hospital, and is involved in several local nonprofit and community organizations, including CASA-Mercer County and the Marion Community Development Organization. Capital Analysts serves a range of retail and institutional clients, providing portfolio management, custom and model portfolios, and retirement-plan advice through a nationwide network of independent advisors. The firm combines in-house discretionary investment management with advisor-managed and third-party solutions, utilizing a proprietary mutual fund screening process and maintaining institutional relationships to support its services.
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