CRD #132185 · FINRA BrokerCheck + SEC IAPD

Capstone Partners

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capstone Partners ranks #3,610 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #25 of 98 on the same disclosure sort used on the state browse page. Capstone Partners carries 1 BrokerCheck disclosure across 15 branch offices - light load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
15
branch offices
1
disclosure
#3,610 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 132185 Capstone Partners

Capstone Partners · Grade B · 1 disc · 0.07/office · Regional firm

  • CRD 132185
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 15
  • PER-OFF 0.07
  • RANK #3,610 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Superior Financial Services,Inc. (0.07 disc/office)

Superior Financial Serv…0.07Columbia Management Inv…0.07CU Investment Solutions…0.07Capstone Partners (this)0.07
Disclosures per office among regional firm peers (lower is cleaner)

Capstone Partners ranks #3,610 of 20,055 by disclosure count among graded broker-dealers; light load at 0.07 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

15 offices

FINRA: Medium firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.07 per office

1 ÷ 15 offices

Capstone Partners vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 90% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Capstone Partners reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Boston, MA, 02109
Formed
04/08/2004
State of Formation
Delaware
CRD Number
132185
SEC Number
66572

Regulator-heavy mix

Capstone Partners in the heavier-disclosure third

Capstone Partners carries 1 BrokerCheck disclosure across 15 branch offices - a heavier-third raw book among graded firms (#3,610 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Capstone Partners's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Capstone Partners's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Massachusetts cohort · 0.35× state average

Capstone Partners tracks near the Massachusetts disclosure average

Capstone Partners reports 1 BrokerCheck disclosure, about 0.35× the Massachusetts average of 2.9 across 98 graded firms.

In Massachusetts, 64 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Massachusetts state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Capstone Partners sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Capstone Partners ranks #3,610 of 20,055 by disclosure count (most disclosures first). Among firms registered in MA, it ranks #25 of 98 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Capstone Partners?
A grade of B reflects Capstone Partners's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 1 total disclosure across 15 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Capstone Partners have?
Capstone Partners has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Capstone Partners?
Capstone Partners operates 15 branch offices and is classified by FINRA as a medium firm, registered in MA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Capstone Partners's disciplinary record?
You can verify Capstone Partners's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 132185. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Capstone Partners because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Capstone Partners carries 1 disclosure across 15 branch offices (about 0.07 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Capstone Partners, both outside MA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.