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As a Capital Securities client you can select from several different asset management approaches; your Financial Advisor can help you pick one that fits your style and objectives.
Capital Securities Financial Advisors offer a complete mutual fund advisory solution that provides mutual fund guidance and monitoring. Each investment advisory program begins with a client profiling exercise and a portfolio diagnosis. Post implementation, you receive consolidated reporting and modeling from your advisor.
The mutual fund advisory program tracks your entire portfolio at Capital Securities and monitors diversification to help you weather changing market conditions. Investments reflect individual time-horizons, risk tolerance and overall portfolio scale.
If you wish to combine the benefits of mutual fund advisory services with the advantages of institutional money management, your Capital Securities Financial Advisor will introduce you to the multi-manager account. This account allows you to combine asset classes and investment styles in a single brokerage account. The result is an actively managed portfolio of securities directed by two or more institutional asset managers, encapsulating both a mutual fund advisory approach and a number of separate account managers.
Separate Account Management offers you a more advanced level of professional money management and performance reporting than the above Mutual Fund Advisory service. By employing a separately managed account structure, Capital Securities investors can benefit from professional money management provided by a quality mix of equity and bond managers.
An additional advantage of separately managed accounts is that they have an individual cost-basis for each investment, which allows for tax gain/loss harvesting. Such a technique can minimize your capital gains tax liability through the selective realization of gains and losses in your portfolio. Separate accounts also lack embedded capital gains tax expenses because taxes are specific to each account rather than a group of investors who may have entered or departed an investment at different times.
For those of you who are qualified high-net-worth clients and institutional investors, Capital Securities Financial Advisors offer alternative investments including:
Alternative investments are speculative, subject to a number of risks (including the risks associated with limited liquidity, investments in non-U.S. securities, the use of leverage, options, derivative instruments, distressed securities, futures, illiquid investments and short sales” are not appropriate for all investors. In addition, alternative investment funds with an emphasis on a specific industry sector, non-U.S. investments and/or public and private companies present certain risks that may not exist in a more diversified portfolio. Multi-manager funds are dependent not only on the investment performance of individual managers but also on the ability of the general partner to effectively allocate the Fund’s assets; managers are subject to change and may not be equally weighted; prospective investors should recognize that they will bear asset-based fees, expenses and a performance-based allocation at the Fund level, and indirectly, fees, expenses and performance-based allocation at the Fund level, as well as indirectly, fees, expenses and performance-based compensation of the investment funds in which the Fund invests. Eligibility requirements begin, generally, at a net worth greater than $1 million.
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Capital Securities Group Corporation ("SSG") is a registered broker dealer, registered investment adviser, and licensed insurance agency. SSG, Member FINRA/SIPC, is a wholly owned non-bank subsidiary of Capital Bank. Capital Securities Group is not a tax advisor. We suggest you consult your personal tax advisor and/or legal representative before making tax-related investment decisions.
The firm only transacts business in states where it is properly registered, or is excluded or exempted from registration requirements. Registration does not constitute an endorsement of the firm by FINRA or the SEC nor does it indicate that the adviser has attained a particular level of skill or ability.
Capital Bank and SSG comply with Section 326 of the USA PATRIOT Act. This law mandates that we request certain information about you while processing your account application. This information is used to verify your identity.
Securities products are:
• NOT FDIC INSURED • NOT BANK GUARANTEED • MAY LOSE VALUE
No information on this web site should be considered a recommendation or solicitation to invest in a particular security or type of security.
Past performance is not indicative of future results. Please obtain from your Financial Advisor, the prospectus(es) or other offering documents as applicable for the fee-based account program and read carefully before investing.
Neither asset allocation nor diversification can eliminate the risk of fluctuating prices and uncertain returns.
All investment strategies have the potential for profit or loss. Changes in investment strategies, contributions or withdrawals, and economic conditions may materially alter the performance of your portfolio. There are no assurances that a portfolio will match or exceed any particular benchmark.
You should carefully consider a fund's investment objectives, risks, charges and expenses before investing. For more complete information about any of the mutual funds available through the Mutual Fund Advisory, including investment objectives, investment risks, and all charges and expenses, contact a Financial Advisor for a free prospectus. The prospectus contains this and other important information that you should consider. Please read the prospectus, schedule H, the wrap brochure, form ADV and the investment advisory agreement carefully before you invest or send money. Investment return and principal value will vary so you may have a gain or loss when you sell shares.
It is important that you carefully read the agreements and disclosures that we provide to you about the products or services we offer. While we strive to ensure the nature of our services is clear in the materials we publish, if at any time you seek clarification on the nature of your accounts or the services you receive, please speak with your Financial Advisor.
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