Capital View Wealth Management, LLC (Des Moines)

Capital View Wealth Management, LLC is a large advisory firm based in Des Moines. It manages $106.91 million of regulatory assets for 46 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of Iowa.

Capital View Wealth Management provides portfolio management for individuals and small businesses and consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital View Wealth Management: assets under management

The assets under management (AUM) of Capital View Wealth Management, LLC is $106.91 million. The firm's AUM has grown by 57% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $100.79 million in discretionary accounts and $6.12 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.29 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3.06 million.

Investments

The firm invests in exchange traded securities the most. They account for 81% of the total AUM. The second-largest asset type is government bonds, which make up 11% 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 View Wealth Management, LLC for their services and products based on a percentage of assets under management and hourly charges. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Samuel B O'brien serves?

The only and largest group of clients of Samuel B O'brien is high net worth individuals with 46 clients and $106.91 million of assets under management. Among the 10 most similar advisory firms, Capital View Wealth Management has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $106.91 million for 46 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 View Wealth Management doesn't advise any private funds.

Careers at Capital View Wealth Management, LLC

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Samuel B O'brien	President/chief compliance officer	1 Mar 2003	75% - 100%	853866

Based in Des Moines

The principal office where Capital View Wealth Management, LLC performs its advisory services is located at 801 Grand Avenue, Des Moines, IA 50309, 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 515-288-5140 or by fax 515-288-5143. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday.