Carmine Capone is a registered investment advisor at Gms Group, based in Boca Raton, FL, with 42 years of industry experience. Carmine operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1 clients with $14M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
8 advisors
Number of Clients
1 client
Average Client Portfolio
$13.9M average
Assets Under Management
$13.9M
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Fee is negotiable depending on individual client circumstances.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
2600 N Military Trail, Suite 400, Boca Raton, FL, 33431
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2018Settled
Customer Dispute
November 2015Settled
Regulatory
October 2015Final
Customer Dispute
June 2009Settled
Employment History
Current Registrations
Gms Group
February 2026 - Present · 2 mos
Gms GroupBroker
November 1988 - Present · 37 yrs 5 mos
Previous Registrations
Moore & Schley, Cameron & CO.Broker
August 1985 - December 1988 · 3 yrs 4 mos
Moore & Schley Municipals, INC.Broker
August 1985 - January 1988 · 2 yrs 5 mos
E. F. Hutton & Company INCBroker
March 1985 - August 1985 · 5 mos
Donald Sheldon & CO., INC.Broker
October 1984 - May 1985 · 7 mos
Halpert, Oberst and CompanyBroker
July 1984 - September 1984 · 2 mos
William M. Cadden & CO., INC.Broker
December 1983 - June 1984 · 6 mos
State Registrations25 states
ALAZCACOCTFLGAIAILKSKYLAMAMDMIMNMONCNJNVNYPASCTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.