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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

PUGH CAPITAL MANAGEMENT, INC.

CRD 111765

SEATTLE, WA

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:42e19c36-460d-d99f-e056-5114f4725719

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 1
Observed: Feb 6, 2012 to Mar 24, 2026
32 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

Pugh Capital Management, Inc.

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.05 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $13BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $13B
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: 4
RAUM per advisor: $3.2Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 39
Advisory employees: 22
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 82
Individual clients: 0
High net worth clients: 0
Private funds: 1Schedule D 7.B(1)
Custody, client assets: $33.2M
SEC number: 801-39138
CRD: 111765
Filings on the tape: 32
First filed: Feb 6, 2012
Latest filed: Mar 24, 2026
Organised: Corporation, WA
Website: pughcapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MARY E. PUGH	n/a	SEATTLE, WA	35	35	n/a	no
CHRISTOPHER NAOTO KELLEY	n/a	SEATTLE, WA	16	20	n/a	no
DARIUS BENI CAYETANO	n/a	SEATTLE, WA	13	14	n/a	no
ADRIAN SEAN JOHNSON	n/a	SEATTLE, WA	8	28	2	no

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
HOBSON, DEANNA, DEE	EXECUTIVE VICE PRESIDENT, MARKETING AND CLIENT SERVICE	A	yes	09/2018	Sep 17, 2018	Jun 6, 2024
LARSON, JEAN-DAVID, HENRI PASCAL	CHIEF OPERATING OFFICER	A	yes	02/2019	Mar 25, 2019	Jun 6, 2024
PUGH, MARY, E.	CEO & CHIEF INVESTMENT OFFICER	C	yes	07/1991	Feb 6, 2012	Jun 6, 2024
COOK, RYAN, DOUGLAS	Shareholder	A	no	04/2017	Apr 28, 2017	Jun 6, 2024
LOU, YUYAN	Shareholder	A	no	04/2017	Feb 6, 2012	Jun 6, 2024
STEPHENS, KATHERINE, MARIE	CHIEF COMPLIANCE OFFICER	Na	no	08/2016	Aug 1, 2016	Jun 6, 2024

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
2025	Mar 24, 2026	$13B	$13B	39	22	0	1	n/a
2024	Apr 14, 2025	$13B	$13B	38	22	0	1	n/a
2023	Mar 28, 2024	$11B	$11B	25	14	0	n/a	n/a
2022	Mar 27, 2023	$9.9B	$9.9B	26	15	0	n/a	n/a
2021	Mar 24, 2022	$12B	$12B	27	15	0	n/a	n/a
2020	Mar 26, 2021	$10B	$10B	24	13	0	n/a	n/a
2019	Mar 25, 2020	$8.1B	$8.1B	24	13	0	n/a	n/a
2018	Mar 25, 2019	$6.3B	$6.3B	23	12	0	n/a	n/a
2017	Mar 26, 2018	$5.8B	$5.8B	22	13	0	n/a	n/a
2016	Mar 17, 2017	$4.7B	$4.7B	18	11	n/a	n/a	n/a
2015	Mar 24, 2016	$3.9B	$3.9B	16	9	n/a	n/a	n/a
2014	Jan 28, 2015	$3.7B	$3.7B	16	9	n/a	n/a	n/a
2013	Jan 24, 2014	$2.6B	$2.6B	13	8	n/a	n/a	n/a
2012	Feb 6, 2013	$2.5B	$2.5B	11	7	n/a	n/a	n/a
2011	Feb 6, 2012	$2.0B	$2.0B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$13B	$13B	-2.4%	$9.9B	8.9%	39	38	0	0

Relationships

Registered with (5)

← ADRIAN SEAN JOHNSONAdvisorregistration: current employment
Jan 16, 2018 to presentfactForm ADV
← DARIUS BENI CAYETANOAdvisorregistration: current employment
Dec 20, 2012 to presentfactForm ADV
← CHRISTOPHER NAOTO KELLEYAdvisorregistration: current employment
Mar 22, 2010 to presentfactForm ADV
← MARY E. PUGHAdvisorregistration: current employment
Jun 25, 1991 to presentfactForm ADV
← RYDER CAMPBELLAdvisorregistration: previous registration
Jul 5, 2002 to Dec 9, 2008factForm ADV

Controls (3)

← PUGH, MARY, E.OwnerCEO & CHIEF INVESTMENT OFFICER, ownership code C, individual
Feb 6, 2012 to Jun 6, 2024factForm ADV
← HOBSON, DEANNA, DEEOwnerEXECUTIVE VICE PRESIDENT, MARKETING AND CLIENT SERVICE, ownership code A, individual
Sep 17, 2018 to Jun 6, 2024factForm ADV
← LARSON, JEAN-DAVID, HENRI PASCALOwnerCHIEF OPERATING OFFICER, ownership code A, individual
Mar 25, 2019 to Jun 6, 2024factForm ADV

Owns (3)

← STEPHENS, KATHERINE, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 1, 2016 to Jun 6, 2024factForm ADV
← LOU, YUYANOwnerSHAREHOLDER, ownership code A, individual
Feb 6, 2012 to Jun 6, 2024factForm ADV
← COOK, RYAN, DOUGLASOwnerSHAREHOLDER, ownership code A, individual
Apr 28, 2017 to Jun 6, 2024factForm ADV

Dated events

Occurred
Jun 6, 2024
Control person left
Nicole Marisa Grant (Chief Investment Officer) no longer on Schedule A of Pugh Capital Management, Inc. (listed 2024-03-28, absent 2024-06-06)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2023
Control person joined
Nicole Marisa Grant (Chief Investment Officer) appeared on Schedule A of Pugh Capital Management, Inc.
Form ADVobserved 4 days ago
Occurred
Oct 1, 2020
Control person left
Thomas Scott Greiwe (Shareholder) no longer on Schedule A of Pugh Capital Management, Inc. (listed 2020-05-15, absent 2020-10-01)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42e19c36-460d-d99f-e056-5114f4725719
First observed: Feb 6, 2012
Last observed: Mar 24, 2026 5 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.

PUGH CAPITAL MANAGEMENT, INC.

CRD 111765

SEATTLE, WA

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:42e19c36-460d-d99f-e056-5114f4725719

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:27 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARY E. PUGH

n/a

SEATTLE, WA

n/a

CHRISTOPHER NAOTO KELLEY

n/a

SEATTLE, WA

n/a

DARIUS BENI CAYETANO

n/a

SEATTLE, WA

n/a

ADRIAN SEAN JOHNSON

n/a

SEATTLE, WA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOBSON, DEANNA, DEE

EXECUTIVE VICE PRESIDENT, MARKETING AND CLIENT SERVICE

yes

09/2018

Sep 17, 2018

Jun 6, 2024

LARSON, JEAN-DAVID, HENRI PASCAL

CHIEF OPERATING OFFICER

yes

02/2019

Mar 25, 2019

Jun 6, 2024

PUGH, MARY, E.

CEO & CHIEF INVESTMENT OFFICER

yes

07/1991

Feb 6, 2012

Jun 6, 2024

COOK, RYAN, DOUGLAS

Shareholder

04/2017

Apr 28, 2017

Jun 6, 2024

LOU, YUYAN

Shareholder

04/2017

Feb 6, 2012

Jun 6, 2024

STEPHENS, KATHERINE, MARIE

CHIEF COMPLIANCE OFFICER

08/2016

Aug 1, 2016

Jun 6, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

$13B

n/a

2024

Apr 14, 2025

$13B

n/a

2023

Mar 28, 2024

$11B

n/a

2022

Mar 27, 2023

$9.9B

n/a

2021

Mar 24, 2022

$12B

n/a

2020

Mar 26, 2021

$10B

n/a

2019

Mar 25, 2020

$8.1B

n/a

2018

Mar 25, 2019

$6.3B

n/a

2017

Mar 26, 2018

$5.8B

n/a

2016

Mar 17, 2017

$4.7B

n/a

2015

Mar 24, 2016

$3.9B

n/a

2014

Jan 28, 2015

$3.7B

n/a

2013

Jan 24, 2014

$2.6B

n/a

2012

Feb 6, 2013

$2.5B

n/a

2011

Feb 6, 2012

$2.0B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$13B

-2.4%

$9.9B

8.9%