# The Capital Group

The Capital Group is a Bank / Wealth / Trust based in Warwick, Taiwan.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Warwick, Taiwan
- **Region:** Asia
- **Address:** Taipei, Taiwan
- **Founded:** 1977
- **Assets under management:** Undisclosed
- **Website:** www.capital.com.tw

## Regulatory record

- **CRD number:** 129615
- **SEC file number:** 801-69517
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/129615

## About

The Capital Group is an SEC-registered investment adviser in Warwick, RI. It manages approximately $63 million in regulatory assets. The firm has 1 employee and 1 investment adviser.

## Questions

### Is The Capital Group affiliated with the US-based Capital Group, manager of American Funds?

No. The Capital Group based in Taipei, Taiwan, is a separate entity operating as a domestic securities firm and investment bank. It is not affiliated with Capital Group Companies, the US asset manager based in Los Angeles known for its American Funds family. The Taiwanese firm operates under a distinct regulatory perimeter governed by Taiwan's Financial Supervisory Commission, with business lines in brokerage, underwriting, and wealth management.

### What is The Capital Group's primary business model?

The firm operates as a licensed securities house in Taiwan. Its revenue model is built on transactional fees from brokerage and underwriting, spread-based income from proprietary trading, and asset-based fees from wealth management mandates. It serves as an intermediary in Taiwan's capital markets, facilitating primary equity and bond issuance for local corporates and secondary-market execution for investors.

### Which regulatory body oversees The Capital Group's operations?

The Capital Group is regulated by the Financial Supervisory Commission (FSC) of Taiwan. The FSC oversees all securities firms, banks, and insurance companies operating in Taiwan's financial markets. The firm's securities license mandates compliance with capital adequacy requirements, client asset protection rules, and market conduct standards enforced by the Taiwan Stock Exchange.

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Last updated: 2026-06-03T20:00:00.000Z

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