Capital Strategy Group Ltd (Syracuse)

Name: Capital Strategy Group Ltd
Address: 110 W. Fayettte Street, Syracuse, NY, 13202 2507
Telephone: 315-471-1547

Capital Strategy Group Ltd is a mid-sized advisory firm based in Syracuse. It manages $73.02 million of regulatory assets for 156 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut, Florida, New Jersey, and 3 other states.

Capital Strategy Group provides portfolio management for individuals and small businesses. 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 Strategy Group: assets under management

The assets under management (AUM) of Capital Strategy Group Ltd is $73.02 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 148% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $73.02 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $468.07 thousand each.

Capital Strategy Group has custody of $73.02 million in cash and securities for 156 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 53% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 20% of the firm’s portfolio. Investments in investment and business development companies form 18% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Strategy Group Ltd 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 James Bradley Sleeper serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of James Bradley Sleeper is individuals with 141 clients and $36.62 million of assets under management. Among the 1 most similar advisory firms, Capital Strategy Group has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $68.87 million for 151 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 Strategy Group doesn't advise any private funds.

Careers at Capital Strategy Group Ltd

The company employs 2 people that are either part- or full-time employees. 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.

James Bradley Sleeper has been acting as President since 1 Feb 1987. Janice Powers Williams joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Arthur Francis Grant	Managing director	1 Apr 1985	50% - 75%	227458
Barry Matthew Dixon	Vice president	1 Mar 1986	Other	1172500
James Bradley Sleeper	President/investment management/chief compliance officer	1 Feb 1987	Other	1134656
Donald John Taylor	Vice president/treasurer	1 May 2011	Other	1839640
Arthur Francis Grant	Chairman of the board	1 Jan 2015	50% - 75%	227458
Aws 4 Inc	Shareholder	1 Oct 2018	75% - 100%	82-5171598
Janice Powers Williams	Chief compliance officer	1 Jun 2019	Other	1901772

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Atria Wealth Solutions	Shareholder	1 Oct 2018	75% - 100%	82-5185377
Atria Wealth Solutions Holdings Llc	Shareholder	1 Oct 2018	75% - 100%	81-4197004
Llc Lep Atria Holdings	Member	1 Oct 2018	25% - 50%	82-2548455
L.P. Lee Equity Partners Fund Ii (A)	Member	1 Oct 2018	25% - 50%	47-5269538

Based in Syracuse

The principal office where Capital Strategy Group Ltd performs its advisory services is located at 110 W. Fayettte Street, Syracuse, NY 13202 2507, 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 315-471-1547. The normal business hours are 8:30am - 5pm on Monday - Friday. You can find more information about the New York firm at csgadvisor.com.