Financial Advisor

The Capstone Difference

Capstone’s top priority is to help financial advisors grow their business exponentially. In addition to tailoring portfolios, we offer our advisors the highest level of service through personalized interactions. All advisors who work with us have access to our portfolio managers, market and economic commentaries, and portfolio reviews. We also have a dedicated team committed to serving our clients throughout the country.

Capstone has the ability to change our standard portfolios to provide a variety of customizations to fit each client’s individual needs and objectives.
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We utilize interest, dividends and covered call premiums to fully capitalize all income options.
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Capstone tailors service and communication to meet your needs. Separate account investors have direct access to their money manager and can schedule personal meetings.
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Comprehensive Investment Advantages

Tailored Portfolios

We believe the key to a successful client-advisor relationship begins with understanding each client’s needs and objectives then matching those needs with the appropriate portfolios and services.

Portfolio Customization Options
  • Income-Oriented Portfolios
  • Blended and tailor-made benchmarks
  • Customized allocations according to growth and income needs
  • Cash and liquidity needs according to short-term requirements
  • Municipal bond portfolios (national or state specific tax-free bonds)
  • Tax-efficient management
  • Values-based investing
  • Socially responsible investing

Quality Income

Through a disciplined investment process, Capstone’s products strive for income-oriented growth to meet each client’s financial goals. We offer a diversified suite of competitive products that provide competitive long-term results. We utilize interest, dividends, and covered call premiums to fully capitalize on all income options.

Concierge Level Service

We seek to become a valued resource to you and your colleagues, and help de-commoditize your financial practice.

  • Onsite visits
  • Client appreciation events
  • Portfolio reviews
  • Access to portfolio managers
  • Joint client/advisor calls
  • Dedicated service team


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Investment Strategies

Equity Strategies

  • Global Equity Income
  • Large Cap Core Growth
  • Theta/Growth

Generate current income and long-term growth of capital.

Capstone’s Global Equity Income strategy pursues its objective through investment in U.S. and non-U.S. dividend paying stocks that have demonstrated above-median yield, increasing dividends, and favorable earnings growth. We invest in the common stocks of companies that represent a broad spectrum of the global economy. Although the strategy invests primarily in large-cap stocks, it is also able to invest in mid-cap and small-cap stocks. The non-U.S. investments are primarily in the form of depositary receipts which are U.S. dollar-denominated instruments representing securities of non-U.S. issuers that are traded in the U.S. The primary benchmark for the strategy is the S&P Global 1200 Index. The secondary benchmark is the S&P 500 Index.

Consistently provide above average, long-term growth with controlled risk through the management of diversified growth-oriented portfolios.

Capstone’s Large Cap Core Growth Equity Portfolio offers investors a separately managed account consisting of high quality, large capitalization growth stocks. We believe that our disciplined, bottom-up approach, which combines objective, quantitative analysis with subjective stock evaluation, will provide above average long-term growth in our clients’ portfolios, while at the same time explicitly controlling for portfolio risk. This universe is screened using several measures which fall under five basic criteria as follows: free cash flow, rising earnings estimates, quality of earnings, relative strength and stock valuation. The benchmark is the Russell 1000 Growth Index.

Provide income and capital appreciation with less volatility than the stock market.

A “buy-write” strategy, also called a “covered call,” is an investment strategy in which the investor buys a stock or a basket of stocks and writes (or sells) call options that cover the stock position. The strategy can enhance portfolio returns under certain market conditions and reduce volatility. In down markets, the option premium received cushions the price decline in an equity portfolio. The trade-off is that in strong equity markets, the upside potential of the equity investment is limited. Capstone’s “Theta/Growth” strategy provides investors with equity market participation while enhancing income potential and reducing risk. This approach is appropriate for investors looking for capital appreciation, higher yields, and reduced risk levels.

Fixed Income Strategies

  • Taxable Fixed Income
  • Intermediate Fixed Income
  • Current Income Portfolio
  • Municipal Fixed Income

Provide income and capital appreciation together with capital preservation through the management of high-quality domestic bonds.

Capstone’s Fixed Income Portfolios offer investors a separately managed account consisting primarily of intermediate-maturity, government, agency, and corporate bonds. We base our fixed-income approach on the belief that superior long-term returns can be achieved with less-than-market risk by focusing on high quality securities, and by adding value through active duration management and the selective rotation of market sectors and the securities within those sectors.

Provide capital preservation, current income, and capital appreciation.

This style is less interest-rate sensitive and less volatile than the fixed income market and allocates assets to U.S. Treasuries, Agencies, Investment Grade Corporates, and Mortgage-Backed bonds that are less than 10-year maturities.

Optimize a multi-sector fixed income portfolio for income.

Clients invest in an investment grade fixed income vehicle seeking the highest possible levels of interest and dividend income, while maintaining a conservative intermediate duration. Capstone designs CIP Portfolios for investors primarily seeking the highest possible absolute returns associated with liquid, intermediate-term, U.S. Fixed Income Securities.

Maximize after-tax income and preserve capital. Capstone seeks to reduce risk levels in portfolios by managing duration and investing in tax-free securities with ratings of “A” and higher.

Capstone’s municipal bond investment philosophy is to structure a portfolio consisting of “A” or higher rated bonds (at time of purchase) as rated by either Moody’s or S&P. Our municipal bond investments focus on essential services and general obligations with short- to intermediate-term maturity and duration currently less than the Barclays Quality Intermediate Municipal Bond Index. By emphasizing bond characteristics and overall structure, we attempt to maximize the portfolio’s current (coupon) income and taxable equivalent yields. Capstone’s access to institutional market relationships provides an opportunity to select from a diverse inventory of municipal bonds at competitive prices, enabling us to efficiently manage portfolios.

Balanced Accounts

  • Balanced Core

Provide long-term growth and current income with controlled risk through the management of primarily intermediate-duration bonds and growth-oriented stocks.

Capstone’s Balanced Core Portfolio combines Large Capitalization Core Growth with Fixed Income. This strategy seeks to provide a balance of growth and income. The allocation ranges between 40% and 60% stocks and bonds and can be customized to fit individual needs.

Advisory Team

Sales & Service Team

Equity Team

Fixed Income Team