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

CAPITAL ONE ASSET MANAGEMENT, LLC

CRD 110533

HOUSTON, TX

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:22e4df1b-1071-9c2e-d6aa-0b5a70297fad

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Mar 29, 2018
28 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: $2.5BItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
Private client RAUM: $737MderivedItem 5.D individuals plus high net worth individuals
Private client share: 29%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 526
Individual clients: 189
High net worth clients: 137
SEC number: 801-60234
CRD: 110533
Filings on the tape: 28
First filed: Dec 19, 2011
Latest filed: Mar 29, 2018
Organised: Limited Liability Company, Louisiana

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
BRAUNIG, GILBERT, N.	APPOINTED BOARD MEMBER	Na	yes	06/2017	Sep 28, 2017	Mar 29, 2018
CAPITAL ONE FINANCIAL CORPORATION	Owner	E	yes	11/2005	Dec 19, 2011	Mar 29, 2018
CAPITAL ONE, NATIONAL ASSOCIATION	Owner	E	yes	04/2006	Dec 19, 2011	Mar 29, 2018
Gammond, George, Bernard	APPOINTED BOARD MEMBER	Na	yes	02/2017	Mar 31, 2017	Mar 29, 2018
HUGO, DANIEL	APPOINTED BOARD MEMBER	Na	yes	02/2014	Mar 31, 2014	Mar 29, 2018
SIRERA, MARTIN, CHRISTOPHER	APPOINTED BOARD MEMBER	Na	yes	06/2017	Sep 28, 2017	Mar 29, 2018
TETEN, ROBERT, PAUL	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	06/2014	Jun 20, 2014	Mar 29, 2018
DOUCE, MARK, IVAN	CHIEF COMPLIANCE OFFICER	Na	no	01/2017	Jan 31, 2017	Mar 29, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CAPITAL ONE ADVISORS, LLC	n/a	Former SEC adviser	n/a	N	yes	n/a
CAPITAL ONE AGENCY LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL ONE INVESTING, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL ONE NATIONAL ASSOCIATION	n/a	n/a	n/a	Y	yes	La
CAPITAL ONE SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW ORLEANS	La	United States	3	no

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
2017	Mar 29, 2018	$2.5B	$2.3B	11	8	1	n/a	n/a
2016	Mar 31, 2017	$3.9B	$3.9B	26	19	n/a	n/a	n/a
2015	Mar 30, 2016	$3.9B	$3.8B	29	22	n/a	n/a	n/a
2014	Mar 31, 2015	$3.8B	$3.8B	30	22	n/a	n/a	n/a
2013	Mar 31, 2014	$3.5B	$3.5B	28	23	n/a	n/a	n/a
2012	Apr 1, 2013	$3.1B	$3.1B	26	21	n/a	n/a	n/a
2011	Mar 30, 2012	$3.1B	$3.1B	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
2017	$2.5B	$3.9B	-35.4%	$3.8B	-12.5%	11	26	1	n/a

Relationships

Affiliated with (1)

→ CAPITAL ONE ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← SIRERA, MARTIN, CHRISTOPHEROwnerAPPOINTED BOARD MEMBER, ownership code NA, individual
Sep 28, 2017 to presentfactForm ADV
← TETEN, ROBERT, PAULOwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 20, 2014 to presentfactForm ADV
← HUGO, DANIELOwnerAPPOINTED BOARD MEMBER, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← BRAUNIG, GILBERT, N.OwnerAPPOINTED BOARD MEMBER, ownership code NA, individual
Sep 28, 2017 to presentfactForm ADV
← Gammond, George, BernardOwnerAPPOINTED BOARD MEMBER, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV
← CAPITAL ONE FINANCIAL CORPORATIONOwnerOWNER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV
← CAPITAL ONE, NATIONAL ASSOCIATIONOwnerOWNER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV

Owns (1)

← DOUCE, MARK, IVANOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 31, 2017 to presentfactForm ADV

Registered with (2)

← MARTIN CHRISTOPHER SIRERAAdvisorregistration: previous registration
Aug 15, 2016 to Jul 27, 2018factForm ADV
← STEPHEN CHAUSSARD CANGELOSIAdvisorregistration: previous registration
Jul 28, 2016 to Jul 27, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22e4df1b-1071-9c2e-d6aa-0b5a70297fad
First observed: Dec 19, 2011
Last observed: Mar 29, 2018 103 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.

CAPITAL ONE ASSET MANAGEMENT, LLC

CRD 110533

HOUSTON, TX

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:22e4df1b-1071-9c2e-d6aa-0b5a70297fad

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:29 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRAUNIG, GILBERT, N.

APPOINTED BOARD MEMBER

yes

06/2017

Sep 28, 2017

Mar 29, 2018

CAPITAL ONE FINANCIAL CORPORATION

Owner

yes

11/2005

Dec 19, 2011

Mar 29, 2018

CAPITAL ONE, NATIONAL ASSOCIATION

Owner

yes

04/2006

Dec 19, 2011

Mar 29, 2018

Gammond, George, Bernard

APPOINTED BOARD MEMBER

yes

02/2017

Mar 31, 2017

Mar 29, 2018

HUGO, DANIEL

APPOINTED BOARD MEMBER

yes

02/2014

Mar 31, 2014

Mar 29, 2018

SIRERA, MARTIN, CHRISTOPHER

APPOINTED BOARD MEMBER

yes

06/2017

Sep 28, 2017

Mar 29, 2018

TETEN, ROBERT, PAUL

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

06/2014

Jun 20, 2014

Mar 29, 2018

DOUCE, MARK, IVAN

CHIEF COMPLIANCE OFFICER

01/2017

Jan 31, 2017

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL ONE ADVISORS, LLC

n/a

Former SEC adviser

n/a

yes

n/a

CAPITAL ONE AGENCY LLC

n/a

yes

n/a

CAPITAL ONE INVESTING, LLC

n/a

yes

n/a

CAPITAL ONE NATIONAL ASSOCIATION

n/a

yes

CAPITAL ONE SECURITIES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW ORLEANS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$2.5B

$2.3B

n/a

2016

Mar 31, 2017

$3.9B

n/a

2015

Mar 30, 2016

$3.9B

$3.8B

n/a

2014

Mar 31, 2015

$3.8B

n/a

2013

Mar 31, 2014

$3.5B

n/a

2012

Apr 1, 2013

$3.1B

n/a

2011

Mar 30, 2012

$3.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$2.5B

$3.9B

-35.4%

$3.8B

-12.5%

n/a