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

FIDUCIARY CAPITAL MANAGEMENT, INC.

CRD 105484

WALLINGFORD, CT

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:30264aa4-7d47-0936-a700-3e69c6ee54bc

Data as of Mar 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to Mar 8, 2017
10 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: $2.6BItem 5.F on the latest filing (2017-03-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.6B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Accounts: 9
SEC number: 801-29581
CRD: 105484
Filings on the tape: 10
First filed: Mar 14, 2012
Latest filed: Mar 8, 2017
Organised: Corporation, Connecticut

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
CARLSON, CHRISTOPHER, ALLEN	Chairman	Na	yes	03/2011	Mar 14, 2012	Mar 8, 2017
DWYER, JOHN, KEITH	CHIEF COMPLIANCE OFFICER	Na	yes	11/2015	Nov 18, 2015	Mar 8, 2017
GATES, WAYNE, ALAN	President	Na	yes	01/2014	Mar 26, 2014	Mar 8, 2017
OHIO NATIONAL FINANCIAL SERVICES, INC.	OHIO NATIONAL FINANCIAL SERVICES, INC.	E	yes	10/1998	Mar 14, 2012	Mar 8, 2017
PAUL, DORIS, LEE	Treasurer	Na	yes	01/2015	Nov 18, 2015	Mar 8, 2017
BYRDE, PHILIP, CHARLES	Director	Na	no	12/2010	Mar 14, 2012	Mar 8, 2017
DEWEIRDT, MICHAEL, JOSEPH	VICE PRESIDENT AND DIRECTOR	Na	no	09/2015	Mar 8, 2017	Mar 8, 2017
OHIO NATIONAL MUTUAL HOLDINGS, INC.	Indirect	E	no	02/2002	Mar 14, 2012	Mar 8, 2017
PLANTE, KIMBERLY, ANNE	Secretary	Na	no	03/2011	Mar 14, 2012	Mar 8, 2017

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
OHIO NATIONAL INVESTMENTS INC	n/a	Other adviser	$31B	N	yes	n/a
ON INVESTMENT MANAGEMENT CO	n/a	Bd affiliated wealth	$3.2B	N	yes	n/a
CAMARGO RE CAPTIVE, INC.	n/a	n/a	n/a	N	yes	n/a
KENWOOD RE, INC.	n/a	n/a	n/a	N	yes	n/a
MONTGOMERY RE, INC.	n/a	n/a	n/a	N	yes	n/a
NATIONAL SECURITY LIFE AND ANNUITY COMPANY	n/a	n/a	n/a	N	yes	n/a
O.N. INTERNATIONAL DO BRASIL	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL EQUITIES, INC.	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL INSURANCE AGENCY OF ALABAMA, INC.	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL INSURANCE AGENCY, INC.	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL LIFE ASSURANCE CORPORATION	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL SEGUROS DE VIDA S.A. (CHILE)	n/a	n/a	n/a	N	yes	n/a
OHIO NATIONAL SEGUROS DE VIDA S.A. (PERU)	n/a	n/a	n/a	N	yes	n/a
SYCAMORE RE, LTD.	n/a	n/a	n/a	N	yes	n/a
THE O.N. EQUITY SALES COMPANY	n/a	n/a	n/a	N	yes	n/a
THE OHIO NATIONAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

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
2016	Mar 8, 2017	$2.6B	$2.6B	7	6	n/a	n/a	n/a
2015	Mar 2, 2016	$2.6B	$2.5B	7	6	n/a	n/a	n/a
2014	Mar 13, 2015	$3.3B	$2.3B	7	6	n/a	n/a	n/a
2013	Mar 26, 2014	$3.5B	$2.5B	7	6	n/a	n/a	n/a
2012	Mar 27, 2013	$3.2B	$2.3B	7	6	n/a	n/a	n/a
2011	Mar 14, 2012	$2.9B	$2.0B	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
2016	$2.6B	$2.6B	1.4%	$3.5B	-9.3%	7	7	n/a	n/a

Relationships

Affiliated with (2)

→ ON INVESTMENT MANAGEMENT CORegistered adviserother investment adviser, common control
factForm ADV
→ CONSTELLATION INVESTMENTS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (5)

← GATES, WAYNE, ALANOwnerPRESIDENT, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← DWYER, JOHN, KEITHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 18, 2015 to presentfactForm ADV
← CARLSON, CHRISTOPHER, ALLENOwnerCHAIRMAN, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← PAUL, DORIS, LEEOwnerTREASURER, ownership code NA, individual
Nov 18, 2015 to presentfactForm ADV
← OHIO NATIONAL FINANCIAL SERVICES, INC.OwnerOHIO NATIONAL FINANCIAL SERVICES, INC., ownership code E, domestic entity
Mar 14, 2012 to presentfactForm ADV

Owns (4)

← DEWEIRDT, MICHAEL, JOSEPHOwnerVICE PRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 8, 2017 to presentfactForm ADV
← BYRDE, PHILIP, CHARLESOwnerDIRECTOR, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← PLANTE, KIMBERLY, ANNEOwnerSECRETARY, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← OHIO NATIONAL MUTUAL HOLDINGS, INC.OwnerINDIRECT, ownership code E, domestic entity
Mar 14, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30264aa4-7d47-0936-a700-3e69c6ee54bc
First observed: Mar 14, 2012
Last observed: Mar 8, 2017 116 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.

FIDUCIARY CAPITAL MANAGEMENT, INC.

CRD 105484

WALLINGFORD, CT

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:30264aa4-7d47-0936-a700-3e69c6ee54bc

Data as of Mar 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, CHRISTOPHER, ALLEN

Chairman

yes

03/2011

Mar 14, 2012

Mar 8, 2017

DWYER, JOHN, KEITH

CHIEF COMPLIANCE OFFICER

yes

11/2015

Nov 18, 2015

Mar 8, 2017

GATES, WAYNE, ALAN

President

yes

01/2014

Mar 26, 2014

Mar 8, 2017

OHIO NATIONAL FINANCIAL SERVICES, INC.

yes

10/1998

Mar 14, 2012

Mar 8, 2017

PAUL, DORIS, LEE

Treasurer

yes

01/2015

Nov 18, 2015

Mar 8, 2017

BYRDE, PHILIP, CHARLES

Director

12/2010

Mar 14, 2012

Mar 8, 2017

DEWEIRDT, MICHAEL, JOSEPH

VICE PRESIDENT AND DIRECTOR

09/2015

Mar 8, 2017

OHIO NATIONAL MUTUAL HOLDINGS, INC.

Indirect

02/2002

Mar 14, 2012

Mar 8, 2017

PLANTE, KIMBERLY, ANNE

Secretary

03/2011

Mar 14, 2012

Mar 8, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OHIO NATIONAL INVESTMENTS INC

n/a

Other adviser

$31B

yes

n/a

ON INVESTMENT MANAGEMENT CO

n/a

Bd affiliated wealth

$3.2B

yes

n/a

CAMARGO RE CAPTIVE, INC.

n/a

yes

n/a

KENWOOD RE, INC.

n/a

yes

n/a

MONTGOMERY RE, INC.

n/a

yes

n/a

NATIONAL SECURITY LIFE AND ANNUITY COMPANY

n/a

yes

n/a

O.N. INTERNATIONAL DO BRASIL

n/a

yes

n/a

OHIO NATIONAL EQUITIES, INC.

n/a

yes

n/a

OHIO NATIONAL INSURANCE AGENCY OF ALABAMA, INC.

n/a

yes

n/a

OHIO NATIONAL INSURANCE AGENCY, INC.

n/a

yes

n/a

OHIO NATIONAL LIFE ASSURANCE CORPORATION

n/a

yes

n/a

OHIO NATIONAL SEGUROS DE VIDA S.A. (CHILE)

n/a

yes

n/a

OHIO NATIONAL SEGUROS DE VIDA S.A. (PERU)

n/a

yes

n/a

SYCAMORE RE, LTD.

n/a

yes

n/a

THE O.N. EQUITY SALES COMPANY

n/a

yes

n/a

THE OHIO NATIONAL LIFE INSURANCE COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 8, 2017

$2.6B

n/a

2015

Mar 2, 2016

$2.6B

$2.5B

n/a

2014

Mar 13, 2015

$3.3B

$2.3B

n/a

2013

Mar 26, 2014

$3.5B

$2.5B

n/a

2012

Mar 27, 2013

$3.2B

$2.3B

n/a

2011

Mar 14, 2012

$2.9B

$2.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$2.6B

1.4%

$3.5B

-9.3%

n/a