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CAPSTONE RIA

BELLINGHAM, WA · CRD 334343 · IAPD ↗ · 877-739-6007

$241.1MRegulatory AUM
1Advisory reps
3Employees
0Clients
0Planning clients
0Private funds
10States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
December 2025 — CAPSTONE RIA notice-filed in MT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
May 2025 — CAPSTONE RIA's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
42
April 2025 — CAPSTONE RIA notice-filed in IN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
March 2025 — CAPSTONE RIA (BELLINGHAM, WA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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