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CAPITAL CLIENT GROUP, INC.

LOS ANGELES, CA · CRD 6247 · IAPD ↗ · retirementsolutions.financialtrans.com · 213-486-9200

$0Regulatory AUM
693Advisory reps
925Employees
0Clients
n/aPlanning clients
0Private funds
49States
1Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

40
October 2026 — CAPITAL CLIENT GROUP, INC. shrank from 699 to 693 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
40
October 2026 — CAPITAL CLIENT GROUP, INC. notice-filed in AL, AR, DC, DE, IA, LA, ME, MS, MT, ND, NE, NM, NV, OK, OR, SC, SD, UT, VT, WV, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
34
September 2026 — CAPITAL CLIENT GROUP, INC. notice-filed in KS, KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
June 2026 — CAPITAL CLIENT GROUP, INC.'s Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
32
May 2026 — CAPITAL CLIENT GROUP, INC. notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
36
March 2026 — CAPITAL CLIENT GROUP, INC. notice-filed in MN, NC, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
February 2026 — CAPITAL CLIENT GROUP, INC. notice-filed in CO, ID, MA, MD, MO, NH, NJ.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
34
December 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in AZ, RI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
December 2025 — CAPITAL CLIENT GROUP, INC. grew from 655 to 699 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
32
August 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
32
June 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
32
May 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in VA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
36
April 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in MI, PA, WI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
32
January 2025 — CAPITAL CLIENT GROUP, INC. notice-filed in GA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
32
October 2024 — CAPITAL CLIENT GROUP, INC. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
October 2024 — CAPITAL CLIENT GROUP, INC. added office(s): 8 -> 10 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
October 2024 — CAPITAL CLIENT GROUP, INC. grew from 494 to 655 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
34
September 2024 — CAPITAL CLIENT GROUP, INC. notice-filed in IL, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
August 2024 — AMERICAN FUNDS DISTRIBUTORS, INC. is now doing business as CAPITAL CLIENT GROUP, INC..
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

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