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

CAPTRUST ADVISORS, LLC

CRD 142941

TAMPA, FL

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:4950110d-a52d-2762-8985-bc28d6cbaa7a

Data as of May 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Mar 13, 2012 to May 24, 2017
8 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: $226MItem 5.F on the latest filing (2017-05-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $226M
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: 43
Advisory employees: 24
Accounts: 13
SEC number: 801-67587
CRD: 142941
Filings on the tape: 8
First filed: Mar 13, 2012
Latest filed: May 24, 2017
Organised: Limited Liability Company, Florida

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
BAILEY, ERIC, WILSON	MANAGING MEMBER	B	yes	08/1998	Mar 13, 2012	May 24, 2017
BRUIN, CHARLES, SCOTT	EXECUTIVE MANAGING PARTNER	Na	yes	03/2012	Mar 13, 2012	May 24, 2017
GLOVER, BRENDA	CHIEF COMPLIANCE OFFICER	Na	yes	04/2012	Apr 30, 2012	May 24, 2017
ROBSON, ROGER, EDWARD	MANAGING MEMBER	D	yes	08/1998	Mar 13, 2012	May 24, 2017
SCHOTT, STEPHEN, HAROLD	MANAGING MEMBER	B	yes	11/2007	Mar 13, 2012	May 24, 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
CAPFINANCIAL PARTNERS, LLC	n/a	Institutional manager	$1237B	N	yes	n/a
CAPFINANCIAL SECURITIES, LLC.	n/a	Former SEC adviser	$116B	N	yes	n/a
PENSIONMARK FINANCIAL GROUP, LLC	n/a	Other adviser	$72B	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Hollywood	FL	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
2016	Mar 30, 2017	$226M	$226M	43	24	n/a	n/a	n/a
2015	Mar 30, 2016	$48.8M	$48.8M	45	24	n/a	n/a	n/a
2014	Mar 30, 2015	$23.6M	$23.6M	47	24	n/a	n/a	n/a
2013	Mar 31, 2014	$22.7M	$22.7M	42	23	n/a	n/a	n/a
2012	Mar 25, 2013	$18.2M	$18.2M	40	22	n/a	n/a	n/a
2011	Mar 13, 2012	n/a	n/a	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	$226M	$48.8M	363.4%	$22.7M	115.2%	43	45	n/a	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
Captrust	12	Dec 31, 2017	Jan 1, 2025	TAMPA, FL	Firm absorbed	Other	85.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WELLS FARGO ADVISORS	2	Aug 7, 2017	Apr 30, 2008	TAMPA, FL	Team lift out	Other	0.1%
WELLS FARGO ADVISORS	9	Jun 12, 2017	Aug 11, 2014	TAMPA, FL	Team lift out	Other	0.7%

Relationships

Affiliated with (3)

→ CAPTRUST FINANCIAL ADVISORSRegistered adviserbroker-dealer, common control
factForm ADV
→ CAPTRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← SCHOTT, STEPHEN, HAROLDOwnerMANAGING MEMBER, ownership code B, individual
Mar 13, 2012 to presentfactForm ADV
← BRUIN, CHARLES, SCOTTOwnerEXECUTIVE MANAGING PARTNER, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← BAILEY, ERIC, WILSONOwnerMANAGING MEMBER, ownership code B, individual
Mar 13, 2012 to presentfactForm ADV
← GLOVER, BRENDAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 30, 2012 to presentfactForm ADV
← ROBSON, ROGER, EDWARDOwnerMANAGING MEMBER, ownership code D, individual
Mar 13, 2012 to presentfactForm ADV

Moved with (2)

→ CAPTRUSTRegistered adviser12 advisors, firm absorbed, same day
Dec 31, 2017 to Jan 1, 2025factForm ADV
← WELLS FARGO ADVISORSRegistered adviser9 advisors, team lift out
Jun 12, 2017 to Aug 11, 2014factForm ADV

Registered with (16)

← Robert Scott LowkeAdvisorregistration: previous registration
Apr 13, 2007 to Dec 31, 2017factForm ADV
← Stephen Harold SchottAdvisorregistration: previous registration
Apr 30, 2008 to Dec 31, 2017factForm ADV
← James Edward GrahamAdvisorregistration: previous registration
Apr 13, 2007 to Dec 31, 2017factForm ADV
← Kipp Gordon SmallAdvisorregistration: previous registration
Jul 7, 2016 to Dec 31, 2017factForm ADV
← Eric Wilson BaileyAdvisorregistration: previous registration
Apr 12, 2007 to Dec 31, 2017factForm ADV
← JAMES JOSEPH WATERSAdvisorregistration: previous registration
Apr 13, 2007 to Dec 31, 2017factForm ADV
← Samuel Lloyd PerryAdvisorregistration: previous registration
Apr 12, 2007 to Dec 31, 2017factForm ADV
← Robert Frank PiccirilliAdvisorregistration: previous registration
Apr 23, 2008 to Dec 31, 2017factForm ADV
← Heidi Batchelder SpencerAdvisorregistration: previous registration
Apr 11, 2013 to Dec 31, 2017factForm ADV
← Mathew DoyleAdvisorregistration: previous registration
Apr 13, 2007 to Dec 31, 2017factForm ADV
← Shale William LatterAdvisorregistration: previous registration
Sep 18, 2012 to Dec 31, 2017factForm ADV
← BOBBY JOHN FRADYAdvisorregistration: previous registration
Jun 3, 2013 to Dec 31, 2017factForm ADV
← Robert Chase BurkhartAdvisorregistration: previous registration
Aug 11, 2014 to Dec 31, 2017factForm ADV
← Michael Anthony ValoneAdvisorregistration: previous registration
Oct 18, 2016 to Dec 31, 2017factForm ADV
← PETER JUSTIN GARDNERAdvisorregistration: previous registration
Apr 13, 2007 to Apr 6, 2009factForm ADV
← JEFFREY STUART ANNISAdvisorregistration: previous registration
Apr 13, 2007 to Apr 6, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4950110d-a52d-2762-8985-bc28d6cbaa7a
First observed: Mar 13, 2012
Last observed: May 24, 2017 113 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 ADVISORS, LLC

CRD 142941

TAMPA, FL

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:4950110d-a52d-2762-8985-bc28d6cbaa7a

Data as of May 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAILEY, ERIC, WILSON

MANAGING MEMBER

yes

08/1998

Mar 13, 2012

May 24, 2017

BRUIN, CHARLES, SCOTT

EXECUTIVE MANAGING PARTNER

yes

03/2012

Mar 13, 2012

May 24, 2017

GLOVER, BRENDA

CHIEF COMPLIANCE OFFICER

yes

04/2012

Apr 30, 2012

May 24, 2017

ROBSON, ROGER, EDWARD

MANAGING MEMBER

yes

08/1998

Mar 13, 2012

May 24, 2017

SCHOTT, STEPHEN, HAROLD

MANAGING MEMBER

yes

11/2007

Mar 13, 2012

May 24, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPFINANCIAL PARTNERS, LLC

n/a

Institutional manager

$1237B

yes

n/a

CAPFINANCIAL SECURITIES, LLC.

n/a

Former SEC adviser

$116B

yes

n/a

PENSIONMARK FINANCIAL GROUP, LLC

n/a

Other adviser

$72B

yes

n/a

City

State

Country

Employees

Also broker-dealer

Hollywood

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$226M

n/a

2015

Mar 30, 2016

$48.8M

n/a

2014

Mar 30, 2015

$23.6M

n/a

2013

Mar 31, 2014

$22.7M

n/a

2012

Mar 25, 2013

$18.2M

n/a

2011

Mar 13, 2012

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

$226M

$48.8M

363.4%

$22.7M

115.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Captrust

Dec 31, 2017

Jan 1, 2025

TAMPA, FL

Firm absorbed

Other

85.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WELLS FARGO ADVISORS

Aug 7, 2017

Apr 30, 2008

TAMPA, FL

Team lift out

Other

0.1%

WELLS FARGO ADVISORS

Jun 12, 2017

Aug 11, 2014

TAMPA, FL

Team lift out

Other

0.7%