Capital United Investments LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$900,000
Total clients
12
33% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
12
Average account size
$75,000
About
The firm is a small, independent, single‑advisor registered investment adviser that serves individuals as well as a limited number of institutional clients, including pension and profit‑sharing plans, trusts, estates, and business entities. It provides fee‑based investment advisory services, discretionary and non‑discretionary portfolio management, financial planning, and qualified retirement plan consulting.
The adviser’s investment approach emphasizes a tactical allocation strategy intended to manage risk while seeking improved performance, using fundamental, technical and cyclical analysis and a wide range of instruments, including equities, fixed income, options and interests in real estate partnerships. Portfolios are customized to client objectives and risk profiles, with practices such as sector tilts, use of cash as a hedge, and quarterly IPS‑driven recommendations for retirement plans.
Noteworthy aspects for a firm of this size include an affiliation with a real estate and mortgage brokerage operated by the principal; the principal conducts separate commission‑based real estate activities (disclosed as a potential conflict of interest). It is also uncommon for a solo adviser with under $1 million in assets and about a dozen clients to offer performance‑based fee arrangements with hurdle and high‑water‑mark provisions while also providing pension consulting and institutional plan services.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Active portfolio management
Retirement plans for business owners (SEP, solo 401k)
General tax planning
Fee options
2.0% annual management fee, payable quarterly in arrears
$250 per hour
20% of gains exceeding an 8.0% hurdle rate net of expenses, subject to high water mark, calculated annually and deducted with fourth quarter fee
Main office location
Capital United Investments LLC
Yucaipa Blvd. Suite A, 35051
Yucaipa CA 92399, United States
Number of offices
1
Most active in
Capital United Investments LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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