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  5. THE CAPITAL GROUP FINANCIAL ADVISORS, INC.

THE CAPITAL GROUP FINANCIAL ADVISORS, INC.

Company Details

Name: THE CAPITAL GROUP FINANCIAL ADVISORS, INC.
Jurisdiction: Rhode Island
Entity type: Domestic Profit Corporation
Status: Dissolved
Date of Organization in Rhode Island: 05 Jan 1965 (60 years ago)
Date of Dissolution: 24 Feb 2023 (2 years ago)
Date of Status Change: 24 Feb 2023 (2 years ago)
Identification Number: 000012003
ZIP code: 02920
County: Providence County
Principal Address: 1220 PONTIAC AVENUE SUITE 301, CRANSTON, RI, 02920, USA
Purpose: SECURITIES BROKERAGE
Historical names: MONEY PLANNING, INC.
INVESTMENT & TAX PLANNING CONSULTANTS, INC.
INVESTMENT PLANNING CONSULTANTS, INC.
Capital Consultants, Inc.

Industry & Business Activity

NAICS

523120 Securities Brokerage

This industry comprises establishments primarily engaged in acting as agents (i.e., brokers) between buyers and sellers in buying or selling securities on a commission or transaction fee basis. Learn more at the U.S. Census Bureau

Companies doing Securities brokerage

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2020 050306744 2021-03-23 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, SUITE 301, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2021-03-23
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2019 050306744 2020-09-25 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, SUITE 301, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2020-09-25
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2018 050306744 2019-09-11 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, SUITE 301, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2019-09-11
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2017 050306744 2018-10-10 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2018-10-10
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2016 050306744 2017-10-05 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2017-10-05
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2015 050306744 2016-10-14 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2016-10-14
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2014 050306744 2015-10-12 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2015-10-12
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2013 050306744 2014-10-07 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2014-10-07
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2012 050306744 2013-10-10 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 5
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Signature of
Role Plan administrator
Date 2013-10-10
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 401(K) PLAN 2011 050306744 2012-10-12 THE CAPITAL GROUP FINANCIAL ADVISORS, INC. 6
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Plan administrator’s name and address
Administrator’s EIN 050306744
Plan administrator’s name THE CAPITAL GROUP FINANCIAL ADVISORS, INC.
Plan administrator’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456
Administrator’s telephone number 4019432210

Signature of
Role Plan administrator
Date 2012-10-12
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2011/10/14/20111014095917P040685863008001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Plan administrator’s name and address
Administrator’s EIN 050306744
Plan administrator’s name THE CAPITAL GROUP FINANCIAL ADVISORS, INC.
Plan administrator’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456
Administrator’s telephone number 4019432210

Signature of
Role Plan administrator
Date 2011-10-14
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2010/10/08/20101008101641P030005483442001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2002-01-01
Business code 523900
Sponsor’s telephone number 4019432210
Plan sponsor’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456

Plan administrator’s name and address
Administrator’s EIN 050306744
Plan administrator’s name THE CAPITAL GROUP FINANCIAL ADVISORS, INC.
Plan administrator’s address 1220 PONTIAC AVENUE, CRANSTON, RI, 029204456
Administrator’s telephone number 4019432210

Signature of
Role Plan administrator
Date 2010-10-08
Name of individual signing ROBERT RADOCCIA
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role Address
CARL I. FREEDMAN, ESQ. Agent ONE PARK ROW SUITE 300, PROVIDENCE, RI, 02903, USA

TREASURER

Name Role Address
BARRY M MISBIN TREASURER 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA

SECRETARY

Name Role Address
ROBERT J RADOCCIA SECRETARY 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA

VICE PRESIDENT

Name Role Address
ROBERT J RADOCCIA VICE PRESIDENT 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA

PRESIDENT

Name Role Address
BARRY M MISBIN PRESIDENT 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA

DIRECTOR

Name Role Address
BARRY M MISBIN DIRECTOR 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA
ROBERT J RADOCCIA DIRECTOR 1220 PONTIAC AVENUE CRANSTON, RI 02920 USA

Events

Type Date Old Value New Value
Name Change 1999-04-16 INVESTMENT PLANNING CONSULTANTS, INC. THE CAPITAL GROUP FINANCIAL ADVISORS, INC.
Name Change 1997-11-03 Capital Consultants, Inc. INVESTMENT PLANNING CONSULTANTS, INC.
Name Change 1997-09-30 INVESTMENT PLANNING CONSULTANTS, INC. Capital Consultants, Inc.
Name Change 1996-12-31 INVESTMENT & TAX PLANNING CONSULTANTS, INC. INVESTMENT PLANNING CONSULTANTS, INC.
Name Change 1989-03-01 MONEY PLANNING, INC. INVESTMENT & TAX PLANNING CONSULTANTS, INC.

Filings

Number Name File Date
202329305240 Articles of Dissolution 2023-02-24
202209689040 Annual Report 2022-02-08
202188211500 Annual Report 2021-01-29
202033067360 Annual Report 2020-01-27
201989194960 Annual Report 2019-03-25
201857770940 Annual Report 2018-02-07
201731222460 Annual Report 2017-02-01
201691666500 Annual Report 2016-02-03
201554299050 Annual Report 2015-01-28
201436354790 Annual Report 2014-02-27

Paycheck Protection Program

Loan Number Loan Funded Date SBA Origination Office Code Loan Delivery Method Borrower Street Address
8215577103 2020-04-15 0165 PPP 1220 Pontiac Ave 301, Cranston, RI, 02920
Loan Status Date 2021-04-21
Loan Status Paid in Full
Loan Maturity in Months 24
SBA Guaranty Percentage 100
Loan Approval Amount (at origination) 58600
Loan Approval Amount (current) 58600
Undisbursed Amount 0
Franchise Name -
Lender Location ID 434162
Servicing Lender Name Citizens Bank, National Association
Servicing Lender Address 1 Citizens Plaza, PROVIDENCE, RI, 02903-1344
Rural or Urban Indicator U
Hubzone N
LMI N
Business Age Description Existing or more than 2 years old
Project Address Cranston, PROVIDENCE, RI, 02920-0001
Project Congressional District RI-02
Number of Employees 3
NAICS code 523999
Borrower Race Unanswered
Borrower Ethnicity Unknown/NotStated
Business Type Corporation
Originating Lender ID 434162
Originating Lender Name Citizens Bank, National Association
Originating Lender Address PROVIDENCE, RI
Gender Unanswered
Veteran Unanswered
Forgiveness Amount 59128.2
Forgiveness Paid Date 2021-03-23

Related by officers

CARL I. FREEDMAN, ESQ.

Compurent, Inc. The Arden Corporation ARDEN ENGINEERING CO., INC. Arden Properties Corporation Arden - RPI Corporation Arden-Westminster Corporation BLACHER BROTHERS INC. Brickle Realty Company MARION MFG. CO. Wine & Spirits Retail Marketing, Inc.

BARRY M MISBIN

The Capital Group Securities, Inc.

ROBERT J RADOCCIA

The Capital Group Securities, Inc.

Related by address

1220 PONTIAC AVENUE SUITE 301, CRANSTON, RI, 02920, USA

The Capital Group Fiduciary Advisors, LLC

Date of last update: 06 Apr 2025

Sources: Rhode Island Department of State

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