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Data Factory

RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

CAPITAL BANK AND TRUST COMPANY

CRD 170017

IRVINE, 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:3fec0a48-55aa-d65c-ec24-f0372affa0bc

Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 85
Dated events: 21
On other graphs: 0
Observed: Feb 13, 2014 to May 29, 2026
40 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: asset managerderivedprivate_client_share=0.02 fund_share=0.97 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $139BItem 5.F on the latest filing (2026-05-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $139B
Private client RAUM: $3.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 121
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 579
High net worth clients: 501
Custody, client assets: $135B
SEC number: 801-79234
CRD: 170017
Filings on the tape: 40
First filed: Feb 13, 2014
Latest filed: May 29, 2026
Organised: Other (specify), CA

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
BURKE, KEVIN, THOMAS	Director	Na	yes	01/2016	Sep 28, 2016	Dec 9, 2024
KERRICK, MICHELLE, C.	Director	Na	yes	01/2024	Mar 11, 2024	Dec 9, 2024
LAMKIN, JANET, WESLEY	Director	Na	yes	09/2021	Jan 26, 2023	Dec 9, 2024
NISHIYAMA, KRISTINE, MIE	DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL	Na	yes	03/2013	Feb 13, 2014	Dec 9, 2024
NIXON, NASEEM, ZARIFEH SAHAR	CHIEF COMPLIANCE OFFICER	Na	yes	06/2024	Jun 7, 2024	Dec 9, 2024
SAKS, KEVIN, MICHAEL	DIRECTOR AND PRESIDENT	Na	yes	02/2023	Feb 21, 2023	Dec 9, 2024
SILVERMAN, SUSI, MICHELE	TREASURER & CONTROLLER	Na	yes	05/2009	Feb 13, 2014	Dec 9, 2024
SPINELLA, CARMELO	Director	Na	yes	07/2009	Feb 13, 2014	Dec 9, 2024
THE CAPITAL GROUP COMPANIES, INC.	Stockholder	E	yes	07/2000	Feb 13, 2014	Dec 9, 2024

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 RESEARCH AND MANAGEMENT COMPANY	n/a	Asset manager	$3754B	N	yes	n/a
CAPITAL INTERNATIONAL, INC.	n/a	Other adviser	$52B	N	yes	n/a
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.	n/a	Independent wealth	$43B	N	yes	n/a
CAPITAL RESEARCH COMPANY	n/a	No RAUM reported	$0	N	yes	n/a
CAPITAL CLIENT GROUP, INC.	n/a	No RAUM reported	n/a	N	yes	n/a
CAPITAL GROUP ALTERNATIVE STRATEGIES, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL GROUP INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	Y	yes	n/a
CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD.	n/a	n/a	n/a	N	yes	n/a
CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED	n/a	n/a	n/a	N	yes	n/a
CAPITAL GUARDIAN (CANADA), INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC.	n/a	n/a	n/a	Y	yes	n/a
CAPITAL INTERNATIONAL K.K.	n/a	n/a	n/a	Y	yes	n/a
CAPITAL INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL MANAGEMENT COMPANY SARL	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL SARL	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; showing 11 of 12

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jan 31, 2025	$76B	$76B	151	0	0	n/a	n/a
2023	Sep 28, 2023	$45B	$45B	187	0	0	n/a	n/a
2022	Sep 28, 2022	$34B	$34B	183	1	1	n/a	n/a
2021	Sep 28, 2021	$38B	$38B	146	0	0	n/a	n/a
2020	Sep 28, 2020	$47B	$47B	304	114	8	1	$113M
2019	Sep 27, 2019	$46B	$45B	299	49	6	1	$115M
2018	Sep 28, 2018	$34B	$33B	286	47	6	1	$115M
2017	Sep 28, 2017	$32B	$32B	311	40	n/a	1	$151M
2016	Sep 28, 2016	$30B	$29B	349	38	n/a	1	$195M
2015	Sep 28, 2015	$11B	$11B	216	0	n/a	n/a	n/a
2014	Sep 29, 2014	$12B	$12B	182	0	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
2024	$139B	$45B	206.6%	$38B	53.9%	121	187	0	0

Relationships

showing 80 of 85

Affiliated with (14)

← CAPITAL CLIENT GROUP, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL RESEARCH AND MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL GUARDIAN (CANADA), INC.Registered adviserother investment adviser, common control
factForm ADV
→ CAPITAL INTERNATIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL RESEARCH COMPANYRegistered adviserother investment adviser, common control
factForm ADV
→ CAPITAL RESEARCH AND MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← CAPITAL INTERNATIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL RESEARCH COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL GUARDIAN (CANADA), INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL GROUP PRIVATE MARKETS, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CAPITAL GUARDIAN TRUST COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (9)

← BURKE, KEVIN, THOMASOwnerDIRECTOR, ownership code NA, individual
Sep 28, 2016 to Dec 9, 2024factForm ADV
← NISHIYAMA, KRISTINE, MIEOwnerDIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL, ownership code NA, individual
Feb 13, 2014 to Dec 9, 2024factForm ADV
← SILVERMAN, SUSI, MICHELEOwnerTREASURER & CONTROLLER, ownership code NA, individual
Feb 13, 2014 to Dec 9, 2024factForm ADV
← SAKS, KEVIN, MICHAELOwnerDIRECTOR AND PRESIDENT, ownership code NA, individual
Feb 21, 2023 to Dec 9, 2024factForm ADV
← SPINELLA, CARMELOOwnerDIRECTOR, ownership code NA, individual
Feb 13, 2014 to Dec 9, 2024factForm ADV
← LAMKIN, JANET, WESLEYOwnerDIRECTOR, ownership code NA, individual
Jan 26, 2023 to Dec 9, 2024factForm ADV
← NIXON, NASEEM, ZARIFEH SAHAROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 7, 2024 to Dec 9, 2024factForm ADV
← KERRICK, MICHELLE, C.OwnerDIRECTOR, ownership code NA, individual
Mar 11, 2024 to Dec 9, 2024factForm ADV
← THE CAPITAL GROUP COMPANIES, INC.OwnerSTOCKHOLDER, ownership code E, domestic entity
Feb 13, 2014 to Dec 9, 2024factForm ADV

Registered with (57)

← GLENN GARRY GEISTAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← J BRADFORD BARNESAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← RALPH EMERSON HECKERTAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← JENNIFER BAKER COOKAdvisorregistration: previous registration
Jun 24, 2020 to Jul 1, 2021factForm ADV
← MICHAEL EDMOND SCHMIDAdvisorregistration: previous registration
Jan 6, 2020 to Jul 1, 2021factForm ADV
← SANDRA SHEAROUSE MORELLIAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← DAVID JOSEPH FERRYAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← MICHELLE MISSANT JACKSONAdvisorregistration: previous registration
Dec 6, 2019 to Jul 1, 2021factForm ADV
← ALAN M SWERDLOFFAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← SAVITRI PADMAVITI PAIAdvisorregistration: previous registration
Mar 4, 2020 to Jul 1, 2021factForm ADV
← ROBERT WILLIAM KELLYAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← MARK WILLIAM FLOWERAdvisorregistration: previous registration
May 25, 2021 to Jul 1, 2021factForm ADV
← WILLIAM MARK CAREYAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← Hays EvansAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← Keith Alan PikenAdvisorregistration: previous registration
Jan 29, 2021 to Jul 1, 2021factForm ADV
← MASSIMIGLIANO SANTO SASSOAdvisorregistration: previous registration
Sep 9, 2019 to Jul 1, 2021factForm ADV
← NORMAN ROBERT SANYOURAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← JENNIFER GEORGE BIRDSEYAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← MARY PATRICIA TUPPERAdvisorregistration: previous registration
Mar 27, 2018 to Jul 1, 2021factForm ADV
← ANIEKAN OKON ARCHIBONGAdvisorregistration: previous registration
Nov 26, 2018 to Jul 1, 2021factForm ADV
← LYNNE MARIE KNOXAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← JUSTIN BRENNANAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← DANIEL NEIL ROMANOWAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← SCOTT ANDREW SANDEEAdvisorregistration: previous registration
Oct 18, 2018 to Jul 1, 2021factForm ADV
← ROBERT BARRON LEWISAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← ZORNITSA VENTSISLAVOVA SANTIAGOAdvisorregistration: previous registration
Feb 17, 2021 to Jul 1, 2021factForm ADV
← SUNG PYO LEEAdvisorregistration: previous registration
May 26, 2016 to Jul 1, 2021factForm ADV
← ERIC MARTIN HEERAdvisorregistration: previous registration
Jan 19, 2016 to Jul 1, 2021factForm ADV
← DEAN WILLIAM CATALANOAdvisorregistration: previous registration
Sep 26, 2018 to Jul 1, 2021factForm ADV
← GREGORY DAVID SINGERAdvisorregistration: previous registration
Oct 11, 2019 to Jul 1, 2021factForm ADV
and 27 more

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 26, 2025
Regulatory AUM changed
Capital Bank And Trust Company reported RAUM $139.3B, up 84% from $75.9B (2025-07-01 to 2025-09-26)
Form ADVobserved 4 days ago
$63.4B
Occurred
Sep 27, 2024
Regulatory AUM changed
Capital Bank And Trust Company reported RAUM $75.9B, up 67% from $45.4B (2024-06-07 to 2024-09-27)
Form ADVobserved 4 days ago
$30.4B
Occurred
Jun 7, 2024
Control person left
Yungtai Herbert Poon (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2024-03-11, absent 2024-06-07)
Form ADVobserved 4 days ago
Occurred
Jun 7, 2024
Control person joined
Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Mar 11, 2024
Control person joined
C. Michelle Kerrick (Director) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Mar 11, 2024
Control person left
Patrick Roy Dennis Codon (Director) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-12-06, absent 2024-03-11)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2023
Control person left
Moran Jessica Zerges (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-09-28, absent 2023-12-06)
Form ADVobserved 4 days ago
Occurred
Dec 6, 2023
Control person joined
Yungtai Herbert Poon (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Sep 28, 2023
Regulatory AUM changed
Capital Bank And Trust Company reported RAUM $45.4B, up 32% from $34.3B (2023-02-21 to 2023-09-28)
Form ADVobserved 4 days ago
$11.1B
Occurred
Feb 21, 2023
Control person left
Doclar Laura Muller (Director And President) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-01-26, absent 2023-02-21)
Form ADVobserved 4 days ago
Occurred
Feb 21, 2023
Control person joined
Michael Kevin Saks (Director And President) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Jan 26, 2023
Control person joined
Wesley Janet Lamkin (Director) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Jan 26, 2023
Control person left
Allen Douglas Paul (Director) no longer on Schedule A of Capital Bank And Trust Company (listed 2022-09-28, absent 2023-01-26)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2020
Control person left
Marie Jane Scofield (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2019-11-20, absent 2020-01-23)
Form ADVobserved 4 days ago
Occurred
Jan 23, 2020
Control person joined
Moran Jessica Zerges (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
Form ADVobserved 4 days ago
Occurred
Sep 27, 2019
Regulatory AUM changed
Capital Bank And Trust Company reported RAUM $46.1B, up 37% from $33.7B (2019-01-16 to 2019-09-27)
Form ADVobserved 4 days ago
$12.4B
Occurred
Feb 13, 2014
First Form ADV filing
Capital Bank And Trust Company filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 4 bookkeeping events

Occurred
Sep 28, 2021
Capital Bank And Trust Company reported 1 state-registered advisory representatives, down from 66 (2021-07-30 to 2021-09-28)
Occurred
Jul 30, 2021
Capital Bank And Trust Company reported 1 offices beyond its principal office, down from 8 (2020-09-28 to 2021-07-30)
Occurred
Sep 27, 2019
Capital Bank And Trust Company reported 67 state-registered advisory representatives, up from 0 (2019-01-16 to 2019-09-27)
Occurred
Sep 28, 2018
Capital Bank And Trust Company reported 0 state-registered advisory representatives, down from 67 (2017-09-28 to 2018-09-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fec0a48-55aa-d65c-ec24-f0372affa0bc
First observed: Feb 13, 2014
Last observed: May 29, 2026 3 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 BANK AND TRUST COMPANY

CRD 170017

IRVINE, 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:3fec0a48-55aa-d65c-ec24-f0372affa0bc

Data as of May 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BURKE, KEVIN, THOMAS

Director

yes

01/2016

Sep 28, 2016

Dec 9, 2024

KERRICK, MICHELLE, C.

Director

yes

01/2024

Mar 11, 2024

Dec 9, 2024

LAMKIN, JANET, WESLEY

Director

yes

09/2021

Jan 26, 2023

Dec 9, 2024

NISHIYAMA, KRISTINE, MIE

DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL

yes

03/2013

Feb 13, 2014

Dec 9, 2024

NIXON, NASEEM, ZARIFEH SAHAR

CHIEF COMPLIANCE OFFICER

yes

06/2024

Jun 7, 2024

Dec 9, 2024

SAKS, KEVIN, MICHAEL

DIRECTOR AND PRESIDENT

yes

02/2023

Feb 21, 2023

Dec 9, 2024

SILVERMAN, SUSI, MICHELE

TREASURER & CONTROLLER

yes

05/2009

Feb 13, 2014

Dec 9, 2024

SPINELLA, CARMELO

Director

yes

07/2009

Feb 13, 2014

Dec 9, 2024

THE CAPITAL GROUP COMPANIES, INC.

Stockholder

yes

07/2000

Feb 13, 2014

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL RESEARCH AND MANAGEMENT COMPANY

n/a

Asset manager

$3754B

yes

n/a

CAPITAL INTERNATIONAL, INC.

n/a

Other adviser

$52B

yes

n/a

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

n/a

Independent wealth

$43B

yes

n/a

CAPITAL RESEARCH COMPANY

n/a

No RAUM reported

yes

n/a

CAPITAL CLIENT GROUP, INC.

n/a

No RAUM reported

n/a

yes

n/a

CAPITAL GROUP ALTERNATIVE STRATEGIES, LLC

n/a

yes

n/a

CAPITAL GROUP INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD.

n/a

yes

n/a

CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED

n/a

yes

n/a

CAPITAL GUARDIAN (CANADA), INC.

n/a

Former SEC adviser

n/a

yes

n/a

CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC.

n/a

yes

n/a

CAPITAL INTERNATIONAL K.K.

n/a

yes

n/a

CAPITAL INTERNATIONAL LIMITED

n/a

yes

n/a

CAPITAL INTERNATIONAL MANAGEMENT COMPANY SARL

n/a

yes

n/a

CAPITAL INTERNATIONAL SARL

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Jan 31, 2025

$76B

151

n/a

2023

Sep 28, 2023

$45B

187

n/a

2022

Sep 28, 2022

$34B

183

n/a

2021

Sep 28, 2021

$38B

146

n/a

2020

Sep 28, 2020

$47B

304

114

$113M

2019

Sep 27, 2019

$46B

$45B

299

$115M

2018

Sep 28, 2018

$34B

$33B

286

$115M

2017

Sep 28, 2017

$32B

311

n/a

$151M

2016

Sep 28, 2016

$30B

$29B

349

n/a

$195M

2015

Sep 28, 2015

$11B

216

n/a

2014

Sep 29, 2014

$12B

182

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$139B

$45B

206.6%

$38B

53.9%

121

187