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FIN CAPITAL

SAN FRANCISCO, CA · CRD 298492 · IAPD ↗ · 415-300-0702

$1.35BRegulatory AUM
22Advisory reps
23Employees
0Clients
n/aPlanning clients
21Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

59
April 2026 — FIN CAPITAL grew from 18 to 22 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
59
April 2025 — FIN CAPITAL grew from 14 to 18 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2025 — FIN CAPITAL crossed $1B in regulatory AUM ($812.1M -> $1.27B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
38
April 2024 — FIN CAPITAL added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
57
April 2024 — FIN CAPITAL grew from 10 to 14 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.