Compliance Disclosures

Capital Strategies Investment Group, LLC (“CAP STRAT”), a federally registered investment advisor, is required to provide a copy of the most current Form ADV Part 2A Disclosure Brochure and Form CRS, also known as the ADV Part 3 or Customer Relationship Summary document. The links will take you to the most current version of our brochure, which provides regulators and clients with a description of our services, fees, conflicts of interests, and other business activities. 

The SEC suggests a plan fiduciary asks certain questions when evaluating and in advance of retaining an investment adviser.
  • To review the SEC Questions and our responses, click here.
  • Additional information about our firm is also available here.  You can view CAP STRAT’s information on this website by using our firm’s CRD number, 150091.
What’s the difference between a 3(21) and a 3(38) adviser, and which do we need?
  • CAP STRAT can act as either a 3(21) or a 3(38) fiduciary.  To learn some of the key differences and how to decide what is best for you and your organization, click here.