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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

BTR CAPITAL MANAGEMENT INC

CRD 105195

OAKLAND, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:123bc0fa-6cab-29bf-cd08-d78409093f63

Data as of Jul 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 9
On other graphs: 0
Observed: Mar 21, 2012 to Jul 11, 2022
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.2BItem 5.F on the latest filing (2022-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 736
Individual clients: 79
High net worth clients: 247
Custody, client assets: $33.2M
SEC number: 801-34890
CRD: 105195
Filings on the tape: 22
First filed: Mar 21, 2012
Latest filed: Jul 11, 2022
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BUTLER, JONATHAN, WILLIAM	SENIOR VICE PRESIDENT/PORTFOLIO MGR/SECRETARY/B.O.D.	B	yes	08/2005	Mar 21, 2012	Jul 11, 2022
FORMICOLA, ANNAMARIE, G (MI ONLY)	SENIOR VICE PRESIDENT	A	yes	10/1989	Mar 21, 2012	Jul 11, 2022
Fredenburg, Mark, Patrick	SENIOR VICE PRESIDENT/PORTFOLIO MGT	Na	yes	04/2019	Apr 23, 2019	Jul 11, 2022
JABLONSKI, THEODORE, STANLEY	SENIOR VICE PRESIDENT/PORTFOLIO MGR	Na	yes	06/2018	Mar 11, 2019	Jul 11, 2022
KATCHER, LEWIS, H (MI ONLY)	CHAIRMAN OF THE BOARD	C	yes	06/1989	Mar 21, 2012	Jul 11, 2022
KEELING, MARK, ADDISON	SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER	B	yes	07/2009	Mar 21, 2012	Jul 11, 2022
MAPLES, ROBERT, CARL	SENIOR VICE PRESIDENT/PORTFOLIO MGR	Na	yes	10/2015	Oct 15, 2015	Jul 11, 2022
ORMENO, ELIZABETH, (NMN)	VICE PRESIDENT/CHIEF INFORMATION SECURITY OFFICER	Na	yes	02/2006	Mar 21, 2012	Jul 11, 2022
STRATTON, JOHN, ALLEN	PRESIDENT/CHIEF COMPLIANCE OFFICER/B.O.D.	B	yes	02/1993	Mar 21, 2012	Jul 11, 2022
Welch, Michael, Lawson	VICE PRESIDENT/PORTFOLIO MGR	Na	yes	08/2021	Mar 3, 2022	Jul 11, 2022
WELCH, ROBERT, CHRISTOPHER	SENIOR VICE PRESIDENT/PORTFOLIO MGR	Na	yes	02/2015	Mar 16, 2015	Jul 11, 2022
Stratton, John, Allen	NON-EMPLOYEE	Na	no	01/2020	Mar 30, 2020	Jul 11, 2022
Stratton, Trevor, Matthew	NON-EMPLOYEE	Na	no	01/2020	Mar 30, 2020	Jul 11, 2022
WELCH, GREGORY, ARTHUR	Retired	Na	no	02/2015	Mar 16, 2015	Jul 11, 2022
YEATMAN, STEPHEN, PALMER	Retired	Na	no	06/1989	Mar 21, 2012	Jul 11, 2022

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 3, 2022	$1.2B	$1.2B	14	8	0	n/a	n/a
2020	Mar 10, 2021	$989M	$989M	14	7	0	n/a	n/a
2019	Mar 30, 2020	$913M	$913M	12	8	0	n/a	n/a
2018	Mar 11, 2019	$760M	$760M	12	7	0	n/a	n/a
2017	Mar 21, 2018	$778M	$778M	13	8	0	n/a	n/a
2016	Mar 13, 2017	$730M	$730M	13	8	n/a	n/a	n/a
2015	Mar 2, 2016	$707M	$707M	14	8	n/a	n/a	n/a
2014	Mar 16, 2015	$575M	$575M	14	8	n/a	n/a	n/a
2013	Mar 4, 2014	$543M	$543M	10	7	n/a	n/a	n/a
2012	Feb 25, 2013	$496M	$496M	10	7	n/a	n/a	n/a
2011	Mar 21, 2012	$456M	$456M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$1.2B	$989M	16.4%	$760M	14.9%	14	14	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	4	Dec 6, 2022	Nov 16, 2022	OAKLAND, CA	Firm absorbed	RIA to ibd	100.0%

Relationships

Owns (4)

← YEATMAN, STEPHEN, PALMEROwnerRETIRED, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← Stratton, John, AllenOwnerNON-EMPLOYEE, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV
← Stratton, Trevor, MatthewOwnerNON-EMPLOYEE, ownership code NA, individual
Mar 30, 2020 to presentfactForm ADV
← WELCH, GREGORY, ARTHUROwnerRETIRED, ownership code NA, individual
Mar 16, 2015 to presentfactForm ADV

Controls (11)

← FORMICOLA, ANNAMARIE, G (MI ONLY)OwnerSENIOR VICE PRESIDENT, ownership code A, individual
Mar 21, 2012 to presentfactForm ADV
← JABLONSKI, THEODORE, STANLEYOwnerSENIOR VICE PRESIDENT/PORTFOLIO MGR, ownership code NA, individual
Mar 11, 2019 to presentfactForm ADV
← MAPLES, ROBERT, CARLOwnerSENIOR VICE PRESIDENT/PORTFOLIO MGR, ownership code NA, individual
Oct 15, 2015 to presentfactForm ADV
← STRATTON, JOHN, ALLENOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER/B.O.D., ownership code B, individual
Mar 21, 2012 to presentfactForm ADV
← KEELING, MARK, ADDISONOwnerSENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER, ownership code B, individual
Mar 21, 2012 to presentfactForm ADV
← BUTLER, JONATHAN, WILLIAMOwnerSENIOR VICE PRESIDENT/PORTFOLIO MGR/SECRETARY/B.O.D., ownership code B, individual
Mar 21, 2012 to presentfactForm ADV
← ORMENO, ELIZABETH, (NMN)OwnerVICE PRESIDENT/CHIEF INFORMATION SECURITY OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← WELCH, ROBERT, CHRISTOPHEROwnerSENIOR VICE PRESIDENT/PORTFOLIO MGR, ownership code NA, individual
Mar 16, 2015 to presentfactForm ADV
← Fredenburg, Mark, PatrickOwnerSENIOR VICE PRESIDENT/PORTFOLIO MGT, ownership code NA, individual
Apr 23, 2019 to presentfactForm ADV
← Welch, Michael, LawsonOwnerVICE PRESIDENT/PORTFOLIO MGR, ownership code NA, individual
Mar 3, 2022 to presentfactForm ADV
← KATCHER, LEWIS, H (MI ONLY)OwnerCHAIRMAN OF THE BOARD, ownership code C, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (5)

← Theodore Stanley JablonskiAdvisorregistration: previous registration
Nov 16, 2022 to Dec 6, 2022factForm ADV
← John StrattonAdvisorregistration: previous registration
Mar 8, 2011 to Dec 6, 2022factForm ADV
← Jonathan William ButlerAdvisorregistration: previous registration
Mar 8, 2011 to Dec 6, 2022factForm ADV
← Mark Patrick FredenburgAdvisorregistration: previous registration
Jun 19, 2019 to Dec 6, 2022factForm ADV
← ADAM PHILLIP SCHNEIBERGAdvisorregistration: previous registration
Mar 7, 2011 to Dec 3, 2014factForm ADV

Moved with (1)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviser4 advisors, firm absorbed, same day
Dec 6, 2022 to Nov 16, 2022factForm ADV

Dated events

Occurred
Dec 6, 2022
Firm absorbed
Btr Capital Management Inc's advisors moved to Wealth Enhancement Advisory Services, LLC (Oakland, CA): 4 of 4 registered, on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Dec 6, 2022
Advisor changed firm
Theodore Stanley Jablonski left Btr Capital Management Inc for Wealth Enhancement Advisory Services, Llc (registered 2022-11-16)
Form ADVobserved 5 days ago
Occurred
Dec 6, 2022
Advisor changed firm
Jonathan William Butler left Btr Capital Management Inc for Wealth Enhancement Advisory Services, Llc (registered 2022-11-16)
Form ADVobserved 5 days ago
Occurred
Dec 6, 2022
Advisor changed firm
Mark Patrick Fredenburg left Btr Capital Management Inc for Wealth Enhancement Advisory Services, Llc (registered 2022-11-16)
Form ADVobserved 5 days ago
Occurred
Dec 6, 2022
Advisor changed firm
John Stratton left Btr Capital Management Inc for Wealth Enhancement Advisory Services, Llc (registered 2022-11-16)
Form ADVobserved 5 days ago
Occurred
Mar 3, 2022
Control person joined
Lawson Michael Welch (Vice President/Portfolio Mgr) appeared on Schedule A of Btr Capital Management Inc
Form ADVobserved 5 days ago
Occurred
Apr 23, 2019
Control person joined
Patrick Mark Fredenburg (Senior Vice President/Portfolio Mgt) appeared on Schedule A of Btr Capital Management Inc
Form ADVobserved 5 days ago
Occurred
Mar 11, 2019
Control person left
Paul Ward Lindenmayer (Senior Vice President/Portfolio Mgr) no longer on Schedule A of Btr Capital Management Inc (listed 2018-03-21, absent 2019-03-11)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2019
Control person joined
Stanley Theodore Jablonski (Senior Vice President/Portfolio Mgr) appeared on Schedule A of Btr Capital Management Inc
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:123bc0fa-6cab-29bf-cd08-d78409093f63
First observed: Mar 21, 2012
Last observed: Jul 11, 2022 51 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BTR CAPITAL MANAGEMENT INC

CRD 105195

OAKLAND, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:123bc0fa-6cab-29bf-cd08-d78409093f63

Data as of Jul 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUTLER, JONATHAN, WILLIAM

SENIOR VICE PRESIDENT/PORTFOLIO MGR/SECRETARY/B.O.D.

yes

08/2005

Mar 21, 2012

Jul 11, 2022

FORMICOLA, ANNAMARIE, G (MI ONLY)

SENIOR VICE PRESIDENT

yes

10/1989

Mar 21, 2012

Jul 11, 2022

Fredenburg, Mark, Patrick

SENIOR VICE PRESIDENT/PORTFOLIO MGT

yes

04/2019

Apr 23, 2019

Jul 11, 2022

JABLONSKI, THEODORE, STANLEY

SENIOR VICE PRESIDENT/PORTFOLIO MGR

yes

06/2018

Mar 11, 2019

Jul 11, 2022

KATCHER, LEWIS, H (MI ONLY)

CHAIRMAN OF THE BOARD

yes

06/1989

Mar 21, 2012

Jul 11, 2022

KEELING, MARK, ADDISON

SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER/PORTFOLIO MANAGER

yes

07/2009

Mar 21, 2012

Jul 11, 2022

MAPLES, ROBERT, CARL

SENIOR VICE PRESIDENT/PORTFOLIO MGR

yes

10/2015

Oct 15, 2015

Jul 11, 2022

ORMENO, ELIZABETH, (NMN)

VICE PRESIDENT/CHIEF INFORMATION SECURITY OFFICER

yes

02/2006

Mar 21, 2012

Jul 11, 2022

STRATTON, JOHN, ALLEN

PRESIDENT/CHIEF COMPLIANCE OFFICER/B.O.D.

yes

02/1993

Mar 21, 2012

Jul 11, 2022

Welch, Michael, Lawson

VICE PRESIDENT/PORTFOLIO MGR

yes

08/2021

Mar 3, 2022

Jul 11, 2022

WELCH, ROBERT, CHRISTOPHER

SENIOR VICE PRESIDENT/PORTFOLIO MGR

yes

02/2015

Mar 16, 2015

Jul 11, 2022

Stratton, John, Allen

NON-EMPLOYEE

01/2020

Mar 30, 2020

Jul 11, 2022

Stratton, Trevor, Matthew

NON-EMPLOYEE

01/2020

Mar 30, 2020

Jul 11, 2022

WELCH, GREGORY, ARTHUR

Retired

02/2015

Mar 16, 2015

Jul 11, 2022

YEATMAN, STEPHEN, PALMER

Retired

06/1989

Mar 21, 2012

Jul 11, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 3, 2022

$1.2B

n/a

2020

Mar 10, 2021

$989M

n/a

2019

Mar 30, 2020

$913M

n/a

2018

Mar 11, 2019

$760M

n/a

2017

Mar 21, 2018

$778M

n/a

2016

Mar 13, 2017

$730M

n/a

2015

Mar 2, 2016

$707M

n/a

2014

Mar 16, 2015

$575M

n/a

2013

Mar 4, 2014

$543M

n/a

2012

Feb 25, 2013

$496M

n/a

2011

Mar 21, 2012

$456M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$1.2B

$989M

16.4%

$760M

14.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Dec 6, 2022

Nov 16, 2022

OAKLAND, CA

Firm absorbed

RIA to ibd

100.0%