SourcingSourcing

CAPITAL ADVISORY GROUP, INC.

B61
CRD 114539·SEC 801-64114·DALLAS, TX
AUM
$224.9M
$100M-$500M
Est. Revenue
$2.2M
@ 1% on AUM
Est. EBITDA
$675K
@ 30% margin
Est. Deal Value
$5.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CAPITAL ADVISORY GROUP, INC.
CRD
114539
SEC file #
801-64114
EIN
450653034
DBA names
—

Economics

AUM
$224.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$133.3M → $224.9M▲ +69%
Client mix
Individuals High Net Worth49
Individuals Other28

Operations

Employees (total)
3
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
DALLAS TX
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
cagwm.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
HOPSON, JAMES, STUART
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
HOPSON, JAMES, STUART
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
CAGWM.COM
Rdap Domain Creation Date
2006-09-08T13:38:18Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
19,247
Form 5500 Compensation Trajectory 3y
202519,247
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
19,247
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001520159
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2011-05-09
Edgar Last Filing Date
2011-05-09
Edgar Form D Count
1
Edgar Form D Offerings
2011-05-092011-05-09 · 0001520159-11-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
160 N. RIVERVIEW DR., SUITE 200ANAHEIM, CA 92808
Business
160 N. RIVERVIEW DR., SUITE 200ANAHEIM, CA 92808
Edgar EIN
450653034
Edgar Recent Filings
D2011-05-09 · 0001520159-11-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-09-08T13:38:18Z
Rdap Domain Last Changed
2025-08-06T22:47:40Z
Rdap Nameservers
Ns91.worldnic.comNs92.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2084487
Trust Company Affiliate
No

People (2)

2
HOPSON, JAMES, STUART
IAR · Direct Owner · 87.5%
2084487
JUSTIN CRAIG MORGAN
IAR
5766374