President and Chief Compliance Officer

0001808129-20-000004.txt : 20201009 0001808129-20-000004.hdr.sgml : 20201009 20201009164550 ACCESSION NUMBER: 0001808129-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201009 DATE AS OF CHANGE: 20201009 EFFECTIVENESS DATE: 20201009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capstone Financial Group, Inc. CENTRAL INDEX KEY: 0001808129 IRS NUMBER: 731474613 STATE OF INCORPORATION: OK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20226 FILM NUMBER: 201233701 BUSINESS ADDRESS: STREET 1: 13919 QUAIL POINTE DRIVE CITY: OKLAHOMA CITY STATE: OK ZIP: 73134 BUSINESS PHONE: (405) 848-4646 MAIL ADDRESS: STREET 1: 13919 QUAIL POINTE DRIVE CITY: OKLAHOMA CITY STATE: OK ZIP: 73134 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001808129 XXXXXXXX 09-30-2020 09-30-2020 Capstone Financial Group, Inc.

13919 QUAIL POINTE DRIVE OKLAHOMA CITY OK 73134

13F HOLDINGS REPORT 028-20226 N Michael Dunham President and Chief Compliance Officer (405) 848-4646 Michael Dunham Oklahoma City OK 10-09-2020 0 157 129392 false INFORMATION TABLE 2 13FCapstone20200930.xml PROSPECT CAP CORP 6.375 03/01/2025 Convertible 74348TAT9 15 15000 SH SOLE 15000 0 0 SIXTH STREET SPECIALTY LENDNIN 4.5 08/01/2022 Convertible 87265KAD4 21 20000 SH SOLE 20000 0 0 FREEPORT-MCMORAN INC CL B Stock 35671D857 21 1335 SH SOLE 1335 0 0 COMMERCIAL METALS CO COM Stock 201723103 21 1000 SH SOLE 1000 0 0 ARK NEXT GENERATION INTERNET ETF ETF 00214Q401 21 192 SH SOLE 192 0 0 ARK INNOVATION ETF ETF 00214Q104 22 226 SH SOLE 226 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429B655 23 445 SH SOLE 445 0 0 ISHARES CORE 1-5 YEAR USD BOND ETF ETF 46432F859 23 452 SH SOLE 452 0 0 HECLA MNG CO COM Stock 422704106 25 5000 SH SOLE 5000 0 0 ISHARES S&P SMALL-CAP FUND ETF 464287804 25 342 SH SOLE 342 0 0 PRETIUM RES INC COM Stock 74139C102 25 2000 SH SOLE 2000 0 0 3M CO COM Stock 88579Y101 25 154 SH SOLE 154 0 0 JOHNSON CTLS INTL PLC SHS Stock G51502105 26 622 SH SOLE 622 0 0 OGE ENERGY CORP COM Stock 670837103 27 846 SH SOLE 846 0 0 BARRICK GOLD CORP COM Stock 067901108 27 1000 SH SOLE 1000 0 0 CHEVRON CORP NEW COM Stock 166764100 28 394 SH SOLE 394 0 0 DEVON ENERGY CORP NEW COM Stock 25179M103 28 2906 SH SOLE 2906 0 0 WELLS FARGO CO NEW COM Stock 949746101 29 1181 SH SOLE 1181 0 0 MATERIALS SELECT SECTOR SPDR FUND ETF 81369Y100 32 500 SH SOLE 500 0 0 ACTIVISION BLIZZARD INC COM Stock 00507V109 36 464 SH SOLE 464 0 0 BANK NEW YORK MELLON CORP COM Stock 064058100 37 1053 SH SOLE 1053 0 0 ISHARES S&P MIDCAP FUND ETF 464287507 39 204 SH SOLE 204 0 0 EXXON MOBIL CORP COM Stock 30231G102 40 1194 SH SOLE 1194 0 0 RED ROCK RESORTS INC CL A Stock 75700L108 44 2528 SH SOLE 2528 0 0 SQUARE INC CL A Stock 852234103 46 260 SH SOLE 260 0 0 CANADIAN NATL RY CO COM Stock 136375102 46 428 SH SOLE 428 0 0 BCE INC COM NEW Stock 05534B760 47 1128 SH SOLE 1128 0 0 CVS HEALTH CORP COM Stock 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CORP COM Stock 012653101 379 4039 SH SOLE 4038 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 384 2005 SH SOLE 2005 0 0 WISDOMTREE EMERGING MARKETS EX-STATE-OWNED ENTERPRISES FUND ETF 97717X578 476 13926 SH SOLE 13926 0 0 IQ MACKAY MUNICIPAL INSURED ETF ETF 45409F843 495 18242 SH SOLE 18242 0 0 VISA INC COM CL A Stock 92826C839 499 2487 SH SOLE 2487 0 0 ISHARES CORE S&P 500 ETF ETF 464287200 502 1495 SH SOLE 1495 0 0 NVIDIA CORPORATION COM Stock 67066G104 579 1053 SH SOLE 1053 0 0 VANGUARD INTERMEDIATE-TERM BOND INDEX FUND ETF 921937819 715 7683 SH SOLE 7683 0 0 VANGUARD SMALL-CAP GROWTH INDEX FUND ETF 922908595 716 3225 SH SOLE 3225 0 0 PIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUND ETF 72201R718 748 7333 SH SOLE 7333 0 0 VANGUARD UTILITIES INDEX FUND ETF 92204A876 833 6192 SH SOLE 6192 0 0 CANOPY GROWTH CORP COM Stock 138035100 848 59192 SH SOLE 59192 0 0 ABERDEEN STANDARD PHYSICAL GOLD SHARES ETF ETF 00326A104 915 50379 SH SOLE 50379 0 0 IQ MERGER ARBITRAGE ETF ETF 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INC COM Stock 58933Y105 1430 17960 SH SOLE 17960 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR ADR 37733W105 1435 38995 SH SOLE 38995 0 0 EXPEDIA GROUP INC COM NEW Stock 30212P303 1443 15705 SH SOLE 15705 0 0 VANGUARD HIGH DIVIDEND YIELD ETF ETF 921946406 1465 17927 SH SOLE 17927 0 0 AMERICAN TOWER CORP NEW COM REIT 03027X100 1496 6209 SH SOLE 6209 0 0 CHECK POINT SOFTWARE TECH LTD ORD Stock M22465104 1500 12389 SH SOLE 12389 0 0 COCA COLA CO COM Stock 191216100 1502 30691 SH SOLE 30690 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 1534 7298 SH SOLE 7298 0 0 RIO TINTO PLC SPONSORED ADR ADR 767204100 1558 26130 SH SOLE 26130 0 0 APPLIED MATLS INC COM Stock 038222105 1590 26329 SH SOLE 26328 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 1601 13241 SH SOLE 13241 0 0 SOUTHWEST AIRLS CO COM Stock 844741108 1893 50371 SH SOLE 50371 0 0 BANCFIRST CORP COM Stock 05945F103 1978 45416 SH SOLE 45416 0 0 CISCO SYS INC COM Stock 17275R102 2029 52615 SH SOLE 52615 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 2201 1514 SH SOLE 1514 0 0 ZILLOW GROUP INC CL C CAP STK Stock 98954M200 2237 21308 SH SOLE 21308 0 0 INTEL CORP COM Stock 458140100 2322 45194 SH SOLE 45194 0 0 VANGUARD MEGA CAP GROWTH ETF ETF 921910816 2474 13441 SH SOLE 13441 0 0 VERIZON COMMUNICATIONS INC COM Stock 92343V104 2639 44381 SH SOLE 44381 0 0 WALMART INC COM Stock 931142103 2667 18968 SH SOLE 18968 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 2801 14612 SH SOLE 14612 0 0 ABBOTT LABS COM Stock 002824100 2869 27004 SH SOLE 27004 0 0 VANECK VECTORS FALLEN ANGEL HIGH YIELD BOND ETF ETF 92189F437 3408 113986 SH SOLE 113986 0 0 MONGODB INC CL A Stock 60937P106 3753 15229 SH SOLE 15229 0 0 MICROSOFT CORP COM Stock 594918104 3788 18397 SH SOLE 18397 0 0 PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND ETF 72201R833 3801 37294 SH SOLE 37294 0 0 AMAZON COM INC COM Stock 023135106 6445 2079 SH SOLE 2079 0 0 SHOPIFY INC CLS A Stock 82509L107 7804 7495 SH SOLE 7495 0 0 APPLE INC COM Stock 037833100 11397 100712 SH SOLE 100712 0 0 ISHARES AGENCY BOND ETF ETF 464288166 13283 109906 SH SOLE 109906 0 0