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PRIVACY
Our commitment to privacy is total.  All financial and personal information, whether that of prospective clients, existing clients or former clients, is held in total confidence.

No financial or personal information is ever shared, unless specifically authorized by our clients in order to provide service.  No information of any kind is ever given or sold to anyone.  We restrict access to employees and authorized agents who need information to provide a specific service.  We maintain strict physical, electronic and procedural safeguards, including shredding of data no longer in use, in compliance with federal standards.

DISCRETION AND ACCOUNT CUSTODY
Capital Investors does not have discretion over client funds.  Deposits to client accounts are made directly to SEI Private Trust Company, with assets in excess of $100 billion.  No check is ever made payable to Capital Investors or to its principals. Title to client assets is always maintained in the name of the client.

SECURITIES REGISTRATIONS:

Capital Investors is a Registered Investment Advisor registered with the State of Ohio and is a "notice filer" in 4 other states.  The firm's principals hold Series 7, Series 24, and Series 65 registrations which are held by Royal Alliance Associates, Inc.  Securities are offered through Royal Alliance Associates, Inc., a member of FINRA/SIPC.  Capital Investors is not an affiliate of Royal Alliance Associates, Inc.  A copy of ADV Part II is available upon request.

ACCOUNT TRADING
Securities transactions are cleared through and custodied at SEI Private Trust Company.

ACCOUNT REPORTING
Clients receive fully-transparent, fully-comprehensible reports on a monthly basis.  In addition, clients have continuous access to their account information online.  Face-to-face client meetings to review portfolio performance and share information occur at a minimum of twice per year.

DISCLOSURE

A broker/dealer, investment advisor, BD agent or IA representative may only transact business in AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA. MD, ME, MI, MN, MO, MS, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SC, TN, TX, UT, VA, WA, WI,  and WV after licensure or satisfying qualification requirements of these states, or only if they are excluded or exempted from the state`s broker/dealer, investment advisor, BD agent or IA rep requirements, as the case may be: and follow up, individualized responses to consumers in a particular state by a broker/dealer, investment advisor, BD agent, or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personal investment advice for compensation, as the case may be, shall not be made without first complying with the state`s broker/ dealer, investment advisor, DB agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion. For information concerning the licensure status or disciplinary history of a broker/dealer, investment advisor, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.

 



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