RIA Intel›Advisers›Connecticut›CAPITAL PROSPECTS LLC

CAPITAL PROSPECTS LLC

Advisory

N·STAMFORD, CT

Data as of Mar 23, 2021 · Source: SEC Form ADV

Total AUM

$1.4B

1-Year AUM Growth

-20.5%

3-Year CAGR

-4.2%

Employees

2

Assets Under Management

Total AUM$1.4B

Discretionary AUM$1.4B

Non-Discretionary AUM$0

Discretionary %100%

Total Clients—

Team

Total Employees2

Investment Advisers3

Employee Growth (1Y)—

Filing History

Total Filings on Record20

First FilingNov 11, 2005

Latest FilingMar 23, 2021

🔒 Full AUM trend chart and 20 historical filings spanning 16+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on CAPITAL PROSPECTS LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.