CAPITAL FINANCIAL PLANNING, LLC

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Capital Financial Planning is based out of Albany. Capital Financial Planning is a large advisory firm with 1117 clients and discretionary assets under management (AUM) of $280,196,250 (Form ADV from 2019-03-14). Their last reported 13F filing for Q3 2019 included $139,779,000 in managed 13F securities and a top 10 holdings concentration of 65.53%. Capital Financial Planning's largest holding is Vanguard Value ETF with shares held of 166,406. Whalewisdom has at least 4 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $139.779 Million
  • Prior Market Value $141.369 Million
  • New Purchases10 stocks
  • Additional Purchases38 stocks
  • Sold out of17 stocks
  • Reduced holdings in33 stocks
  • Top 10 Holdings % 65.53 %
  • Turnover % [1]:31.76%
  • Turnover Alt % [2]: 8.96 %
  • Time Held Top20:2.05 quarters
  • Time Held Top10:1.80 quarters
  • Time Held All:2.58 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 6.36%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

CAPITAL FINANCIAL PLANNING, LLC
6 TOWER PLACE
ALBANY NY    12203
Country: United States
Business Phone: (518) 867-4000
Fax: (518) 694-4196
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NY
Number of employees: 20
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 1117
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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CAPITAL FINANCIAL PLANNING, LLC

ownership team - last updated 2019-03-14
Name Title Start Date Direct/Indirect % Ownership
SLINGERLAND, TODD, ARTHUR MANAGING MEMBER, PRESIDENT, CEO AND CCO 08/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
ABB ADVISORS, LLC PRESIDENT, CEO AND CCO direct 2016-08-01
CAPITAL FINANCIAL PLANNING, LLC MANAGING MEMBER, PRESIDENT, CEO AND CCO direct 2016-08-01

CAPITAL FINANCIAL PLANNING, LLC

ownership team - last updated 2018-04-26
Name Title Start Date Direct/Indirect % Ownership
SLINGERLAND, TODD, ARTHUR MANAGING MEMBER, PRESIDENT, CEO AND CCO 08/01/2016 Direct 75% or more
Fund Name Position direct/indirect start date end date
ABB ADVISORS, LLC PRESIDENT, CEO AND CCO direct 2016-08-01
CAPITAL FINANCIAL PLANNING, LLC MANAGING MEMBER, PRESIDENT, CEO AND CCO direct 2016-08-01

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