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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

AFAM CAPITAL, INC.

CRD 108517

AUSTIN, 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:29240e15-20d9-5eca-ffc0-aa12b285b00f

Data as of May 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2011 to May 30, 2018
35 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: $951MItem 5.F on the latest filing (2018-05-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $951M
Private client RAUM: $544MderivedItem 5.D individuals plus high net worth individuals
Private client share: 57%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 935
Individual clients: 466
High net worth clients: 345
Custody, client assets: $30.8M
SEC number: 801-30528
CRD: 108517
Filings on the tape: 35
First filed: Dec 21, 2011
Latest filed: May 30, 2018
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
BUCKINGHAM, JOHN	CHIEF INVESTMENT OFFICER	Na	yes	12/2001	Dec 21, 2011	May 30, 2018
HARE, ERIC, RASMUSSEN	President	Na	yes	01/2016	Jan 13, 2016	May 30, 2018
MENDOZA, CYNTHIA MARIEL	VP, OPERATIONS AND CHIEF COMPLIANCE OFFICER	Na	yes	04/2018	May 30, 2018	May 30, 2018
AF HOLDINGS, INC.	HOLDING COMPANY	E	no	11/1999	Aug 24, 2012	May 30, 2018

Offices

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

City	State	Country	Employees	Also broker-dealer
ALISO VIEJO	CA	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	Apr 2, 2018	$951M	$951M	16	6	1	n/a	n/a
2016	Mar 31, 2017	$712M	$712M	20	8	n/a	n/a	n/a
2015	Mar 29, 2016	$706M	$706M	23	7	n/a	n/a	n/a
2014	Mar 25, 2015	$830M	$830M	30	15	n/a	n/a	n/a
2013	Mar 19, 2014	$788M	$788M	25	15	n/a	n/a	n/a
2012	Mar 27, 2013	$676M	$676M	25	6	n/a	n/a	n/a
2011	Mar 27, 2012	$566M	$566M	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	$951M	$712M	33.5%	$830M	4.6%	11	20	1	n/a

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
NORTHCOAST ASSET MANAGEMENT LLC	2	Nov 5, 2018	Nov 27, 2018	AUSTIN, TX	Team lift out	RIA to RIA	40.0%

Relationships

Controls (3)

← BUCKINGHAM, JOHNOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 21, 2011 to presentfactForm ADV
← HARE, ERIC, RASMUSSENOwnerPRESIDENT, ownership code NA, individual
Jan 13, 2016 to presentfactForm ADV
← MENDOZA, CYNTHIA MARIELOwnerVP, OPERATIONS AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 30, 2018 to presentfactForm ADV

Owns (1)

← AF HOLDINGS, INC.OwnerHOLDING COMPANY, ownership code E, domestic entity
Aug 24, 2012 to presentfactForm ADV

Moved with (1)

→ NORTHCOAST ASSET MANAGEMENT LLCRegistered adviser2 advisors, team lift out, same day
Nov 5, 2018 to Nov 27, 2018factForm ADV

Registered with (7)

← CHRISTOPHER DUNCAN CREEDAdvisorregistration: previous registration
Jul 9, 2013 to Nov 5, 2018factForm ADV
← JOHN BUCKINGHAMAdvisorregistration: previous registration
Jul 8, 1997 to Nov 5, 2018factForm ADV
← JASON R CLARKAdvisorregistration: previous registration
Oct 1, 2007 to Nov 5, 2018factForm ADV
← VITO ANTONIO SCIARAFFIAAdvisorregistration: previous registration
Jun 19, 2015 to Nov 5, 2018factForm ADV
← Christopher Douglas TaylorAdvisorregistration: previous registration
Oct 2, 2017 to Nov 5, 2018factForm ADV
← NICHOLAS AUSTIN BOWERSAdvisorregistration: previous registration
Nov 14, 2017 to Jun 12, 2018factForm ADV
← DUANE ROBERT MATTSONAdvisorregistration: previous registration
Dec 5, 2011 to May 15, 2012factForm ADV

Dated events

Occurred
Apr 2, 2018
Regulatory AUM changed
Afam Capital, Inc. reported RAUM $950.9M, up 34% from $712.2M (2017-09-14 to 2018-04-02)
Form ADVobserved 5 days ago
$239M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29240e15-20d9-5eca-ffc0-aa12b285b00f
First observed: Dec 21, 2011
Last observed: May 30, 2018 101 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.

AFAM CAPITAL, INC.

CRD 108517

AUSTIN, 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:29240e15-20d9-5eca-ffc0-aa12b285b00f

Data as of May 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUCKINGHAM, JOHN

CHIEF INVESTMENT OFFICER

yes

12/2001

Dec 21, 2011

May 30, 2018

HARE, ERIC, RASMUSSEN

President

yes

01/2016

Jan 13, 2016

May 30, 2018

MENDOZA, CYNTHIA MARIEL

VP, OPERATIONS AND CHIEF COMPLIANCE OFFICER

yes

04/2018

May 30, 2018

AF HOLDINGS, INC.

HOLDING COMPANY

11/1999

Aug 24, 2012

May 30, 2018

City

State

Country

Employees

Also broker-dealer

ALISO VIEJO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Apr 2, 2018

$951M

n/a

2016

Mar 31, 2017

$712M

n/a

2015

Mar 29, 2016

$706M

n/a

2014

Mar 25, 2015

$830M

n/a

2013

Mar 19, 2014

$788M

n/a

2012

Mar 27, 2013

$676M

n/a

2011

Mar 27, 2012

$566M

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

$951M

$712M

33.5%

$830M

4.6%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

NORTHCOAST ASSET MANAGEMENT LLC

Nov 5, 2018

Nov 27, 2018

AUSTIN, TX

Team lift out

RIA to RIA

40.0%