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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

CAPTRUST FINANCIAL ADVISORS

CAPFINANCIAL PARTNERS, LLC, CRD 126291

RALEIGH, NC

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:333c8bc9-a134-ddce-1a56-7924f4c90a8f

Data as of Oct 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 107
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2012 to Oct 30, 2014
9 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: $116BItem 5.F on the latest filing (2014-10-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.6B
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: 310
Advisory employees: 92
Accounts: 3,646
Custody, client assets: $0
SEC number: 801-62193
CRD: 126291
Filings on the tape: 9
First filed: Mar 1, 2012
Latest filed: Oct 30, 2014
Organised: Limited Liability Company, North Carolina

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
MILLER, JAMES FIELDING	MANAGER, CEO	Na	yes	02/2003	Mar 1, 2012	Oct 30, 2014
MILLER, JAMES FIELDING	Owner	E	yes	10/1997	Mar 1, 2012	Oct 30, 2014
THE CAPFINANCIAL GROUP, INC	Member	E	yes	11/2003	Mar 1, 2012	Oct 30, 2014
APPLEBY, JOHN EDMUND RUSSELL	MANAGING DIRECTOR, PROJECT MGT & ACQUISITIONS/CROP/SROP	Na	no	12/2009	Mar 1, 2012	Oct 30, 2014
BUCHANAN, DENISE MCGEE	CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP	Na	no	12/2009	Mar 1, 2012	Oct 30, 2014
FREEDMAN, ERIC JAMES	MANAGING DIRECTOR, CONSULTING RESEARCH GROUP	Na	no	12/2009	Mar 1, 2012	Oct 30, 2014
GOLDSTEIN, BENJAMIN STUART	MANAGING DIRECTOR, BUSINESS OPERATIONS GROUP	Na	no	04/2010	Mar 1, 2012	Oct 30, 2014
HOYLE, WILSON SMITH III	MANAGING DIRECTOR, ADVISOR SUPPORT GROUP	Na	no	12/2009	Mar 1, 2012	Oct 30, 2014
MCCULLOUGH, BONNIE ANNETTE	DIRECTOR OF FINANCE	Na	no	02/2012	Mar 1, 2012	Oct 30, 2014
SHOFF, DERICK DON	MANAGING DIRECTOR, ADVISOR SUPPORT GROUP	Na	no	12/2009	Mar 1, 2012	Oct 30, 2014
STROTHER, MICHAEL DAVID	Finop	Na	no	07/2013	Mar 31, 2014	Oct 30, 2014

Offices

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

City	State	Country	Employees	Also broker-dealer
Birmingham	Al	United States	n/a	no
Riverside	CA	United States	n/a	no
WESTLAKE VILLAGE	CA	United States	n/a	no
Greenwich	Ct	United States	n/a	no
Washington	Dc	United States	n/a	no
LAKE MARY	FL	United States	n/a	no
Atlanta	Ga	United States	n/a	no
W DES MOINES	Ia	United States	n/a	no
Clarkston	Mi	United States	n/a	no
Minneapolis	Mn	United States	n/a	no
Charlotte	Nc	United States	n/a	no
NEW YORK	NY	United States	n/a	no
PORT WASHINGTON	NY	United States	n/a	no
Akron	Oh	United States	n/a	no
Doylestown	Pa	United States	n/a	no
Dallas	TX	United States	n/a	no
Houston	TX	United States	n/a	no
Richmond	Va	United States	n/a	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
2013	Mar 31, 2014	$116B	$3.6B	285	90	n/a	n/a	n/a
2012	Mar 28, 2013	$83B	$2.5B	250	90	n/a	n/a	n/a
2011	Mar 1, 2012	$69B	$2.1B	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
2013	$116B	$83B	39.5%	n/a	n/a	310	250	n/a	n/a

Relationships

showing 80 of 107

Affiliated with (45)

← CAPTRUSTRegistered adviserbroker-dealer, common control
factForm ADV
← BOSTON FINANCIAL MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV
← GRANDVIEW DELIGHT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← CAMPBELL WEALTH MANAGEMENT, INC.Registered adviserbroker-dealer, common control
factForm ADV
← COLUMN CAPITAL ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← ENGRAVE WEALTH PARTNERS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← TRUTINA FINANCIALRegistered adviserbroker-dealer, common control
factForm ADV
← SOUTHERN WEALTH MANAGEMENT LLPRegistered adviserbroker-dealer, common control
factForm ADV
← OMEGA WEALTH PARTNERS, INC.Registered adviserbroker-dealer, common control
factForm ADV
← QUANTITATIVE ADVANTAGE, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← MONROE VOS CONSULTING, INC.Registered adviserbroker-dealer, common control
factForm ADV
← AEVITAS WEALTH MANAGEMENT, INC.Registered adviserbroker-dealer, common control
factForm ADV
← TRUSTCORE FINANCIAL SERVICES, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KAIROS PRIVATE WEALTH, INC.Registered adviserbroker-dealer, common control
factForm ADV
← DANDA TROUVE INVESTMENT MANAGEMENT, INC.Registered adviserbroker-dealer, common control
factForm ADV
← FRONTIER WEALTH MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← REYNOLDS INVESTMENT MANAGEMENT INCRegistered adviserbroker-dealer, common control
factForm ADV
← PORTFOLIO EVALUATIONS, INC.Registered adviserbroker-dealer
factForm ADV
← NEW MARKET WEALTH MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← CRESCENT CAPITAL CONSULTING, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← RINET COMPANY, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← COVENANTRegistered adviserbroker-dealer, common control
factForm ADV
← NACHMAN NORWOOD & PARROTT, INC.Registered adviserbroker-dealer, common control
factForm ADV
← STEWARDSHIP FINANCIAL ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← CAMMACK RETIREMENT GROUPRegistered adviserbroker-dealer, common control
factForm ADV
← GENOVESE BURFORD & BROTHERS WEALTH AND RETIREMENT PLAN MGMT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← PWA WEALTH MANAGEMENTRegistered adviserbroker-dealer, common control
factForm ADV
← MRA ASSOCIATESRegistered adviserbroker-dealer, common control
factForm ADV
← SHINE WEALTH PARTNERSRegistered adviserbroker-dealer, common control
factForm ADV
← LAKESIDE WEALTH MANAGEMENT GROUP, LLCRegistered adviserbroker-dealer, common control
factForm ADV
and 15 more

Owns (8)

← SHOFF, DERICK DONOwnerMANAGING DIRECTOR, ADVISOR SUPPORT GROUP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← BUCHANAN, DENISE MCGEEOwnerCCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← GOLDSTEIN, BENJAMIN STUARTOwnerMANAGING DIRECTOR, BUSINESS OPERATIONS GROUP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← HOYLE, WILSON SMITH IIIOwnerMANAGING DIRECTOR, ADVISOR SUPPORT GROUP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← STROTHER, MICHAEL DAVIDOwnerFINOP, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← APPLEBY, JOHN EDMUND RUSSELLOwnerMANAGING DIRECTOR, PROJECT MGT & ACQUISITIONS/CROP/SROP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← FREEDMAN, ERIC JAMESOwnerMANAGING DIRECTOR, CONSULTING RESEARCH GROUP, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV
← MCCULLOUGH, BONNIE ANNETTEOwnerDIRECTOR OF FINANCE, ownership code NA, individual
Mar 1, 2012 to presentfactForm ADV

Controls (2)

← MILLER, JAMES FIELDINGOwnerOWNER, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV
← THE CAPFINANCIAL GROUP, INCOwnerMEMBER, ownership code E, domestic entity
Mar 1, 2012 to presentfactForm ADV

Registered with (24)

← DERICK DON SHOFFAdvisorregistration: previous registration
Jan 8, 2007 to Apr 22, 2015factForm ADV
← JAMES FIELDING MILLERAdvisorregistration: previous registration
Oct 20, 2003 to Apr 22, 2015factForm ADV
← JOHN CAROL GARRETTAdvisorregistration: previous registration
Oct 20, 2003 to Apr 22, 2015factForm ADV
← PATRICK KEYES MARLATTAdvisorregistration: previous registration
Apr 30, 2012 to Apr 22, 2015factForm ADV
← ELLEN DONOVAN CROWLEYAdvisorregistration: previous registration
Jan 2, 2008 to Apr 22, 2015factForm ADV
← TODD LOUIS JONESAdvisorregistration: previous registration
Oct 20, 2003 to Apr 22, 2015factForm ADV
← WALLACE TRAYNOR REITMEIERAdvisorregistration: previous registration
Dec 3, 2007 to Apr 22, 2015factForm ADV
← RICHMOND GILBERT BERNHARDTAdvisorregistration: previous registration
Jan 3, 2004 to Apr 22, 2015factForm ADV
← MARK NICHOLAS PACCIONEAdvisorregistration: previous registration
Jun 30, 2009 to Apr 22, 2015factForm ADV
← Brian Michael ZitoAdvisorregistration: previous registration
Oct 21, 2009 to Apr 22, 2015factForm ADV
← JOSEPH ALLEN DILLONAdvisorregistration: previous registration
Jun 18, 2014 to Apr 22, 2015factForm ADV
← BRIAN CHRISTOPHER PERKINSAdvisorregistration: previous registration
Feb 11, 2015 to Apr 22, 2015factForm ADV
← Brandon Carnick AberAdvisorregistration: previous registration
Mar 25, 2015 to Apr 22, 2015factForm ADV
← DAVID A HOODAdvisorregistration: previous registration
Jun 1, 2011 to Apr 22, 2015factForm ADV
← MILLER D ROBINSAdvisorregistration: previous registration
Jul 27, 2012 to Apr 22, 2015factForm ADV
← Jason CroyAdvisorregistration: previous registration
Oct 10, 2013 to Apr 22, 2015factForm ADV
← REED RUMMEL MCCOYAdvisorregistration: previous registration
Sep 19, 2013 to Apr 22, 2015factForm ADV
← EDWIN A DALRYMPLEAdvisorregistration: previous registration
Oct 21, 2003 to Apr 14, 2015factForm ADV
← PAUL HOWARD SCHAFFERAdvisorregistration: previous registration
Jan 9, 2007 to Apr 9, 2015factForm ADV
← BRUCE LINCOLN GRAHAMAdvisorregistration: previous registration
Oct 31, 2013 to Apr 9, 2015factForm ADV
← ROBERT CHARLES AUDITOREAdvisorregistration: previous registration
Jan 2, 2013 to Apr 9, 2015factForm ADV
← MICHAEL STEPHEN PRATICOAdvisorregistration: previous registration
Jan 8, 2007 to Apr 9, 2015factForm ADV
← KEVIN JOSEPH SIMSAdvisorregistration: previous registration
May 15, 2013 to Apr 9, 2015factForm ADV
← Errol Andrew HauAdvisorregistration: previous registration
Mar 8, 2013 to Apr 9, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:333c8bc9-a134-ddce-1a56-7924f4c90a8f
First observed: Mar 1, 2012
Last observed: Oct 30, 2014 144 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.

CAPTRUST FINANCIAL ADVISORS

CAPFINANCIAL PARTNERS, LLC, CRD 126291

RALEIGH, NC

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:333c8bc9-a134-ddce-1a56-7924f4c90a8f

Data as of Oct 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MILLER, JAMES FIELDING

MANAGER, CEO

yes

02/2003

Mar 1, 2012

Oct 30, 2014

MILLER, JAMES FIELDING

Owner

yes

10/1997

Mar 1, 2012

Oct 30, 2014

THE CAPFINANCIAL GROUP, INC

Member

yes

11/2003

Mar 1, 2012

Oct 30, 2014

APPLEBY, JOHN EDMUND RUSSELL

MANAGING DIRECTOR, PROJECT MGT & ACQUISITIONS/CROP/SROP

12/2009

Mar 1, 2012

Oct 30, 2014

BUCHANAN, DENISE MCGEE

CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP

12/2009

Mar 1, 2012

Oct 30, 2014

FREEDMAN, ERIC JAMES

MANAGING DIRECTOR, CONSULTING RESEARCH GROUP

12/2009

Mar 1, 2012

Oct 30, 2014

GOLDSTEIN, BENJAMIN STUART

MANAGING DIRECTOR, BUSINESS OPERATIONS GROUP

04/2010

Mar 1, 2012

Oct 30, 2014

HOYLE, WILSON SMITH III

MANAGING DIRECTOR, ADVISOR SUPPORT GROUP

12/2009

Mar 1, 2012

Oct 30, 2014

MCCULLOUGH, BONNIE ANNETTE

DIRECTOR OF FINANCE

02/2012

Mar 1, 2012

Oct 30, 2014

SHOFF, DERICK DON

MANAGING DIRECTOR, ADVISOR SUPPORT GROUP

12/2009

Mar 1, 2012

Oct 30, 2014

STROTHER, MICHAEL DAVID

Finop

07/2013

Mar 31, 2014

Oct 30, 2014

City

State

Country

Employees

Also broker-dealer

Birmingham

United States

n/a

Riverside

United States

n/a

WESTLAKE VILLAGE

United States

n/a

Greenwich

United States

n/a

Washington

United States

n/a

LAKE MARY

United States

n/a

Atlanta

United States

n/a

W DES MOINES

United States

n/a

Clarkston

United States

n/a

Minneapolis

United States

n/a

Charlotte

United States

n/a

NEW YORK

United States

n/a

PORT WASHINGTON

United States

n/a

Akron

United States

n/a

Doylestown

United States

n/a

Dallas

United States

n/a

Houston

United States

n/a

Richmond

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

$116B

$3.6B

285

n/a

2012

Mar 28, 2013

$83B

$2.5B

250

n/a

2011

Mar 1, 2012

$69B

$2.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$116B

$83B

39.5%

n/a

310

250

n/a