Capital Asset Advisory Services, LLC Disclosures and Privacy Policy




Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.


The types of personal information we collect and share depend on the product or service you have with us. This information can include:

  • Social Security Number or Tax Identification Number
  • Name, Address, Email, Phone Number, Date of Birth
  • Brokerage Info, including Purchases, Sales, Account Balances, and Inquiries

When you are no longer our customer, we continue to share your information as described
in this notice.


All financial companies need to share their customer’s personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customer’s personal information; the reason CAAS chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information:Does CAAS Share? Can you limit this sharing?
For our marketing purposes -To offer our products and services to youYESYES
For joint marketing with other financial companiesNON/A
For our affiliates’ everyday business purposes-Information about your transactions & experiencesYESNO
For our affiliates’ everyday businesspurposes-Information about your creditworthinessNON/A
For nonaffiliates to market to youNON/A
For our everyday business purposes-Such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureausYESYES
Who we are 
Who is providing this notice?Capital Asset Advisory Services, LLC (“CAAS”), an SEC Registered Investment Advisor
What we do 
How does CAAS protect my personal information?To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings.
How does CAAS collect my personal information?We collect your personal information, for example, when you:

  • Submit Applications or Forms

  • Provide communications such as e-mails, phone calls, etc.

  • Open Brokerage Accounts with CAAS

Why can’t I limit all sharing?Federal law gives you the right to limit only:

  • Sharing for affiliates’ everyday business purposes –information about your creditworthiness

  • Affiliates from using your information to market to you

  • Sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.
AffiliatesCompanies related by common ownership or control. They can be financial and nonfinancial companies:
Wealth Advisory Group
Capital Asset Insurance Services
Wealth Advisory Group Insurance Services
CG Finanical
NonaffiliatesCompanies not related by common ownership or control. They can be financial and nonfinancial companies.
Joint marketingA formal agreement between nonaffiliated financial companies that together market financial products or services to you
Other important information
Our policy about obtaining and disclosing information may change from time to time. We will provide you notice of any material change to this policy before we implement change.

Part 2A of Form ADV: Firm Brochure

Part 2A Appendix 1 of Form ADV: Wrap Fee Brochure

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