The Capital Group
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$56,506,896
This total excludes 7 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
282
2% high-net-worth
Advisors
1
of 1 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
282
Very HighAverage account size
$200,379
About
The Capital Group provides financial planning and personalized investment management, and also assists clients in selecting third‑party advisers. Its client base includes individuals as well as trusts, charitable organizations, corporations, and pension and profit‑sharing plans, and many accounts are managed on a discretionary basis.
The firm builds customized portfolios using fundamental analysis, mutual funds, ETFs, and both long‑ and short‑term trading where appropriate, and it commonly implements model allocations and sub‑advisers through SEI‑sponsored programs (including MAP, GoalLink/IMAP and SEI Asset Allocation). Reporting and custody are handled through a qualified custodian, and the firm bills advisory fees on an asset‑based basis with quarterly reporting to clients.
Noteworthy aspects for a single‑advisor independent firm include a high client load — well over 200 clients for the sole adviser — and an affiliation with an insurance agency and a broker‑dealer that leads to commission‑based insurance sales and securities recommendations in addition to advisory fees. A firm principal also devotes material time (approximately 60 hours per month) to registered‑representative activities, and the firm’s work with corporate and pension/profit‑sharing clients and use of integrated managed account structures are less common among peers.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
General retirement planning
Wealth management
Tax-loss harvesting
Active portfolio management
Fee options
$0 - $1,000,000: 0.20% to 2.00% (varies based on advisory agreement and services) $1,000,000 - $2,000,000: varies by strategy, e.g., 0.85% down to 0.30% depending on SEI strategy $2,000,000 - $3,000,000: decreasing tiers as per SEI strategy fee schedules $3,000,000 - $5,000,000: further tiered lower rates, negotiable above $5 million $5,000,000+: Negotiable
Insurance product commissions earned by licensed agents affiliated with the firm
Financial planning and consulting hourly rates range from $200 to $400
Account minimum: $100,000 Minimum fee: $250 set-up fee for accounts smaller than $100,000 (may be waived or discounted) Fee-only: Investment management fees based on assets under management; financial planning hourly fees
Main office location
The Capital Group
300 Jefferson Blvd., Suite 205
Warwick RI 02888, United States
Number of offices
1
Most active in
The Capital Group has reported serving >5 clients in these states in the last 12 months.
Florida · Massachusetts · Rhode Island · Texas
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.
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
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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