AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AT

Austin K. Todd

CAPITAL UNITED INVESTMENTS LLC
Yucaipa, CA 92399
Some features on this profile are disabled
CRD#: 7296333
AT

Professional summary

Austin Kane Todd is a registered financial advisor currently at CAPITAL UNITED INVESTMENTS LLC located in Yucaipa, California.

Austin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Austin has worked at 1 firm and has passed the Series 65 and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) AUSTIN TODD DBA CAPITAL UNITED; INVESTMENT RELATED; 35051 YUCAIPA BLVD, SUITE A, YUCAIPA, CA 92220; MORTGAGE BROKERAGE AND REAL ESTATE INVESTMENT; 01/01/2016; 80 HOURS PER MONTH DURING TRADING HOURS; MORTGAGE BROKER AND REAL ESTATE INVESTOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Kane Todd's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 10, 2024 - Present

CAPITAL UNITED INVESTMENTS LLC

Office #1: Yucaipa Blvd. Suite A 35051, Yucaipa, CA 92399
RIA
CRD#: 312447
Yucaipa, CA
Past

February 8, 2021 - December 31, 2023

CAPITAL UNITED INVESTMENTS LLC

RIA
CRD#: 312447
YUCAIPA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/8/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/3/2020
Securities Industry Essentials Examination

Current Firm

CU
CAPITAL UNITED INVESTMENTS LLC
CAPITAL UNITED | CAPITAL UNITED INVESTMENTS LLC

CRD#: 312447 / SEC#:

California
Registered Investment Advisory firm - (1/10/2024 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Yucaipa Blvd. Suite A 35051, Yucaipa, CA 92399
Mailing Address
Phone number
(909) 528-0197
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts12
AUM (Assets Under Management)$ 900,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPITAL UNITED INVESTMENTS LLC

CRD#: 312447Yucaipa, CA 92399

TRUST BUT VERIFY

Monitor Austin Todd

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Shad Roundy
Shad RoundyAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
TRACY, CA
Phillip Bruce Smith III
Phillip SmithAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
EUGENE, OR
RB
Robert BlasucciAdvisorCheck Check Mark
ECHOTRADE LLC
PR
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.