Capital Financial Advisors

CRD#139218
Investment Advisor Firm

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Overview

Capital Financial Advisors operates as a financial advisory company that has its headquarters in Hot Springs National Park, Arkansas. The company has $45.0 million in total assets across 270 client accounts. Capital Financial Advisors has a small team of two employees, all of whom are financial advisors. Capital Financial Advisors does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer company to do so. Securities are tradable fiscal assets like bonds, options and equities.

Capital Financial Advisors oversees all of the firm's client assets in a discretionary manner. Discretionary management is a structure in which buy and sell choices are made by an investment advisor without needing client authorization. The advisory firm's typical account size is $166,667. The average advisor at Capital Financial Advisors administers about 135 client accounts.

The firm's main office is at 1700 Malvern Avenue, Hot Springs National Park, Arkansas 71901. It is registered to serve investors in the state of Arkansas.

Assets Under Management

$45.0 million

Number of Advisors

2

Disclosures

No

Office Location

1700 Malvern Avenue
Hot Springs National Park, AR 71901

Capital Financial Advisors by the Numbers

Total Assets Under Management

$45.0 million

National Average: $3.7 billion
Total Number of Employees

2

National Average: 29
Total Number of Accounts

270

National Average: 2,073
Average Account Size

$166.7 thousand

National Average: $1.8 million

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Products and Services

Services provided by Capital Financial Advisors include portfolio management for individuals and small businesses and selection of other advisers. Notably, the company did not provide financial planning services to any of its clients in the last financial year. The company is not involved in selling products or offering services aside from investment advisory services to its investment advisory accounts.

Core Advisor Services

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    Financial Planning Services

    This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

  • Offered by 62% of firms

    Portfolio Management

    This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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    Market Timing Services

    This is the practice of attempting to make short-term profits on investments by buying low and selling high.

Other Services

  • Offered by 23% of firms

    Selection of Other Advisors

    This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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    Publication of Periodicals

    This is the publication of various financial education materials.

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    Educational Seminars/Workshops

    This is the hosting of seminars or workshops to educate investors on financial concepts.

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Fee Structure

Financial management fees depend on the financial services provided. Fee types billed by Capital Financial Advisors likely consist of some blend of the following fee types: asset-based or hourly. Capital Financial Advisors does not provide a wrap fee program, in which the firm offers a service bundle for a comprehensive fee. The company can withdraw its charges directly from customer funds.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 35% of firms

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

Unavailable

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 40% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

It caters to retail investors. Out of its 270 accounts, Capital Financial Advisors's biggest client by number of accounts is retail investors. None of the company's customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 100%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Capital Financial Advisors does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Capital Financial Advisors

Chad Amerson
Hot Springs National Park, AR
Joseph Dierks
Hot Springs National Park, AR

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This content was compiled from the SEC and FINRA

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.