Capital Formation Strategies Inc is a large advisory firm based in St Paul. It manages $137.46 million of regulatory assets for 471 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Minnesota and Texas.
Capital Formation Strategies provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Capital Formation Strategies Inc is $137.46 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 222% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Capital Formation Strategies Inc for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals and high net worth individuals. The largest group of clients of Donald Andrew Johnson is high net worth individuals with 35 clients and $69.64 million of assets under management. Among the 8 most similar advisory firms, Capital Formation Strategies has the 3rd lowest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $137.46 million for 471 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Capital Formation Strategies doesn't advise any private funds.
The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Donald Andrew Johnson has been acting as President since 1 Apr 1986. Thomas Austin Hannon joined the executive team most recently as the Chief Compliance Officer.
The principal office where Capital Formation Strategies Inc performs its advisory services is located at 2550 University Ave W., St Paul, MN 55114, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 651-644-8412 or by fax 651-644-8696. The normal business hours are 8:30 am-4:30pm on Monday - Friday. You can find more information about the New York firm at capform.net/index.htm.