Capital Formation Strategies Inc (St Paul)

Name: Capital Formation Strategies Inc
Address: 2550 University Ave W., St Paul, MN, 55114
Telephone: 651-644-8412

Capital Formation Strategies Inc is a large advisory firm based in St Paul. It manages $137.46 million of regulatory assets for 471 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Minnesota and Texas.

Capital Formation Strategies provides financial planning services, portfolio management for individuals and small businesses, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Formation Strategies: assets under management

The assets under management (AUM) of Capital Formation Strategies Inc is $137.46 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 222% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $137.46 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $291.84 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 83% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 9% of the firm’s portfolio. Investments in cash and cash equivalents form 5% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Formation Strategies Inc for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Donald Andrew Johnson serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Donald Andrew Johnson is high net worth individuals with 35 clients and $69.64 million of assets under management. Among the 8 most similar advisory firms, Capital Formation Strategies has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $137.46 million for 471 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Capital Formation Strategies doesn't advise any private funds.

Careers at Capital Formation Strategies Inc

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Donald Andrew Johnson has been acting as President since 1 Apr 1986. Thomas Austin Hannon joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Capital Formation Strategies Inc	President	1 Apr 1986	75% - 100%	111124
Donald Andrew Johnson	President	1 Apr 1986	75% - 100%	705491
Daniel Abraham Henken	Principal	1 Oct 2005	Other	4593222
Mark Eric Czuchry	Chief compliance officer	1 Jun 2013	Other	4048295
Donald Andrew Johnson	Chief executive officer	1 Sep 2015	75% - 100%	705491
Thomas Austin Hannon	Chief compliance officer	1 Sep 2015	Other	5950339

Based in St Paul

The principal office where Capital Formation Strategies Inc performs its advisory services is located at 2550 University Ave W., St Paul, MN 55114, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 651-644-8412 or by fax 651-644-8696. The normal business hours are 8:30 am-4:30pm on Monday - Friday. You can find more information about the New York firm at capform.net/index.htm.