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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

BTC CAPITAL MANAGEMENT

BTC CAPITAL MANAGEMENT, INC., CRD 127158

DES MOINES, IA

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:512ce6d7-6229-15e2-1691-b8aad2bf5be0

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 5
On other graphs: 1
Observed: Mar 6, 2012 to Mar 23, 2026
38 observations

Across DFX

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

Allocatorsidentity

BTC Capital Management

Investment consultant · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.01 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.6BItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.2B
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: 10
RAUM per advisor: $460Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 17
Advisory employees: 9
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2,199
Custody, client assets: $0
SEC number: 801-62140
CIK: 1611848
CRD: 127158
Filings on the tape: 38
First filed: Mar 6, 2012
Latest filed: Mar 23, 2026
Organised: Corporation, IA

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
MARK PAUL MANDZIARA	n/a	DES MOINES, IA	22	22	n/a	no
DEBRA ELLEN NORTON	n/a	DES MOINES, IA	18	19	n/a	no
SCOTT DEAN ELTJES	n/a	DES MOINES, IA	16	27	3	no
JON KENT AUGUSTINE	Chartered Financial Analyst	DES MOINES, IA	16	27	3	no
JEFFREY SCOTT BIRDSLEY	Chartered Financial Analyst	DES MOINES, IA	16	16	n/a	no
DAVID HANSEN CHAPMAN	n/a	DES MOINES, IA	15	17	n/a	no
JUSTIN DAVID CARLEY	Chartered Financial Analyst	DES MOINES, IA	10	12	1	no
DAVID PAUL JACKSON	n/a	DES MOINES, IA	7	30	n/a	no
Brian E Rolland	n/a	DES MOINES, IA \| Cedar Rapids, IA	7	17	n/a	no
Robert Paul Larsen	n/a	DES MOINES, IA	6	17	n/a	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
ALBERTSON, KERMIT, JOHN	SECRETARY/TREASURER	Na	yes	05/2003	Mar 6, 2012	Mar 27, 2024
AUGUSTINE, JON, KENT	CHIEF INVESTMENT OFFICER	Na	yes	11/2009	Mar 6, 2012	Mar 27, 2024
BTC FINANCIAL CORPORATION	Shareholder	E	yes	05/2003	Mar 6, 2012	Mar 27, 2024
Chorniak, Kevin, Lee	CHIEF OPERATING OFFICER	Na	yes	01/2019	Mar 30, 2021	Mar 27, 2024
Coffin, Donald, James	CHAIRMAN, DIRECTOR	Na	yes	01/2018	Mar 15, 2018	Mar 27, 2024
ELTJES, SCOTT, DEAN	PRESIDENT AND CEO	Na	yes	02/2009	Mar 6, 2012	Mar 27, 2024
JOHN RUAN 1993 TRUST U/A/D APRIL 2, 2002, JOHN RUAN, SETTLOR; CURRENT TRUSTEE: JOHN RUAN IV	Shareholder	E	yes	03/2002	Mar 27, 2024	Mar 27, 2024
Larsen, Robert, Paul	CHIEF COMPLIANCE OFFICER	Na	yes	08/2020	Aug 14, 2020	Mar 27, 2024
MANDZIARA, MARK, PAUL	SENIOR MANAGING DIRECTOR	Na	yes	07/2003	Mar 6, 2012	Mar 27, 2024
Mumm, Ricky, Lee	CHIEF FINANCIAL OFFICER	Na	yes	06/2019	Mar 17, 2020	Mar 27, 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
BANKERS TRUST COMPANY	n/a	n/a	n/a	Y	yes	Ia

Offices

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

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	1	no
CEDAR RAPIDS	Ia	United States	1	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
2025	Mar 23, 2026	$4.6B	$3.2B	17	9	2	n/a	n/a
2024	Mar 14, 2025	$4.2B	$3.0B	18	10	2	n/a	n/a
2023	Mar 27, 2024	$3.8B	$2.7B	18	10	2	n/a	n/a
2022	Mar 30, 2023	$3.6B	$2.5B	19	14	2	n/a	n/a
2021	Mar 29, 2022	$4.3B	$2.9B	18	13	2	n/a	n/a
2020	Mar 30, 2021	$3.9B	$2.9B	17	13	2	n/a	n/a
2019	Mar 17, 2020	$3.3B	$2.5B	17	13	2	n/a	n/a
2018	Mar 14, 2019	$3.4B	$3.4B	17	13	2	n/a	n/a
2017	Mar 15, 2018	$3.5B	$3.5B	16	13	1	n/a	n/a
2016	Mar 17, 2017	$3.3B	$3.3B	16	13	n/a	n/a	n/a
2015	Mar 10, 2016	$3.1B	$3.1B	15	13	n/a	n/a	n/a
2014	Mar 27, 2015	$3.0B	$2.6B	12	10	n/a	n/a	n/a
2013	Mar 28, 2014	$2.7B	$2.3B	12	10	n/a	n/a	n/a
2012	Mar 22, 2013	$2.2B	$2.2B	12	8	n/a	n/a	n/a
2011	Mar 6, 2012	$2.1B	$2.1B	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	1	-1	10.0%	0	0	0	0	1

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	$4.6B	$4.2B	9.8%	$3.6B	8.3%	17	18	2	2

Relationships

Registered with (11)

← Robert Paul LarsenAdvisorregistration: current employment
Jun 30, 2020 to presentfactForm ADV
← Brian E RollandAdvisorregistration: current employment
Nov 27, 2018 to presentfactForm ADV
← DAVID PAUL JACKSONAdvisorregistration: current employment
Nov 20, 2018 to presentfactForm ADV
← JUSTIN DAVID CARLEYAdvisorregistration: current employment
Dec 22, 2015 to presentfactForm ADV
← DAVID HANSEN CHAPMANAdvisorregistration: current employment
Oct 28, 2010 to presentfactForm ADV
← JEFFREY SCOTT BIRDSLEYAdvisorregistration: current employment
Feb 2, 2010 to presentfactForm ADV
← JON KENT AUGUSTINEAdvisorregistration: current employment
Dec 18, 2009 to presentfactForm ADV
← SCOTT DEAN ELTJESAdvisorregistration: current employment
Dec 16, 2009 to presentfactForm ADV
← DEBRA ELLEN NORTONAdvisorregistration: current employment
Feb 6, 2008 to presentfactForm ADV
← MARK PAUL MANDZIARAAdvisorregistration: current employment
Sep 1, 2004 to presentfactForm ADV
← Dwayne Miles KrpanAdvisorregistration: previous registration
Jan 10, 2023 to Nov 21, 2025factForm ADV

Controls (10)

← ELTJES, SCOTT, DEANOwnerPRESIDENT AND CEO, ownership code NA, individual
Mar 6, 2012 to Mar 27, 2024factForm ADV
← AUGUSTINE, JON, KENTOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 6, 2012 to Mar 27, 2024factForm ADV
← ALBERTSON, KERMIT, JOHNOwnerSECRETARY/TREASURER, ownership code NA, individual
Mar 6, 2012 to Mar 27, 2024factForm ADV
← MANDZIARA, MARK, PAULOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 6, 2012 to Mar 27, 2024factForm ADV
← Coffin, Donald, JamesOwnerCHAIRMAN, DIRECTOR, ownership code NA, individual
Mar 15, 2018 to Mar 27, 2024factForm ADV
← Mumm, Ricky, LeeOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 17, 2020 to Mar 27, 2024factForm ADV
← Larsen, Robert, PaulOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 14, 2020 to Mar 27, 2024factForm ADV
← Chorniak, Kevin, LeeOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2021 to Mar 27, 2024factForm ADV
← BTC FINANCIAL CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 6, 2012 to Mar 27, 2024factForm ADV
← JOHN RUAN 1993 TRUST U/A/D APRIL 2, 2002, JOHN RUAN, SETTLOR; CURRENT TRUSTEE: JOHN RUAN IVOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 27, 2024 to Mar 27, 2024factForm ADV

Dated events

Occurred
Nov 21, 2025
Advisor changed firm
Dwayne Miles Krpan left Btc Capital Management for Mainstreet Advisors (registered 2025-12-16)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2021
Control person joined
Lee Kevin Chorniak (Chief Operating Officer) appeared on Schedule A of Btc Capital Management
Form ADVobserved 5 days ago
Occurred
Aug 14, 2020
Control person left
Howard Charles Leibold (Chief Compliance Officer) no longer on Schedule A of Btc Capital Management (listed 2020-03-17, absent 2020-08-14)
Form ADVobserved 5 days ago
Occurred
Aug 14, 2020
Control person joined
Paul Robert Larsen (Chief Compliance Officer) appeared on Schedule A of Btc Capital Management
Form ADVobserved 5 days ago
Occurred
Mar 17, 2020
Control person joined
Lee Ricky Mumm (Chief Financial Officer) appeared on Schedule A of Btc Capital Management
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:512ce6d7-6229-15e2-1691-b8aad2bf5be0
First observed: Mar 6, 2012
Last observed: Mar 23, 2026 6 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.

BTC CAPITAL MANAGEMENT

BTC CAPITAL MANAGEMENT, INC., CRD 127158

DES MOINES, IA

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:512ce6d7-6229-15e2-1691-b8aad2bf5be0

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK PAUL MANDZIARA

n/a

DES MOINES, IA

n/a

DEBRA ELLEN NORTON

n/a

DES MOINES, IA

n/a

SCOTT DEAN ELTJES

n/a

DES MOINES, IA

JON KENT AUGUSTINE

Chartered Financial Analyst

DES MOINES, IA

JEFFREY SCOTT BIRDSLEY

Chartered Financial Analyst

DES MOINES, IA

n/a

DAVID HANSEN CHAPMAN

n/a

DES MOINES, IA

n/a

JUSTIN DAVID CARLEY

Chartered Financial Analyst

DES MOINES, IA

DAVID PAUL JACKSON

n/a

DES MOINES, IA

n/a

Brian E Rolland

n/a

DES MOINES, IA | Cedar Rapids, IA

n/a

Robert Paul Larsen

n/a

DES MOINES, IA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALBERTSON, KERMIT, JOHN

SECRETARY/TREASURER

yes

05/2003

Mar 6, 2012

Mar 27, 2024

AUGUSTINE, JON, KENT

CHIEF INVESTMENT OFFICER

yes

11/2009

Mar 6, 2012

Mar 27, 2024

BTC FINANCIAL CORPORATION

Shareholder

yes

05/2003

Mar 6, 2012

Mar 27, 2024

Chorniak, Kevin, Lee

CHIEF OPERATING OFFICER

yes

01/2019

Mar 30, 2021

Mar 27, 2024

Coffin, Donald, James

CHAIRMAN, DIRECTOR

yes

01/2018

Mar 15, 2018

Mar 27, 2024

ELTJES, SCOTT, DEAN

PRESIDENT AND CEO

yes

02/2009

Mar 6, 2012

Mar 27, 2024

JOHN RUAN 1993 TRUST U/A/D APRIL 2, 2002, JOHN RUAN, SETTLOR; CURRENT TRUSTEE: JOHN RUAN IV

Shareholder

yes

03/2002

Mar 27, 2024

Larsen, Robert, Paul

CHIEF COMPLIANCE OFFICER

yes

08/2020

Aug 14, 2020

Mar 27, 2024

MANDZIARA, MARK, PAUL

SENIOR MANAGING DIRECTOR

yes

07/2003

Mar 6, 2012

Mar 27, 2024

Mumm, Ricky, Lee

CHIEF FINANCIAL OFFICER

yes

06/2019

Mar 17, 2020

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BANKERS TRUST COMPANY

n/a

yes

City

State

Country

Employees

Also broker-dealer

Phoenix

United States

CEDAR RAPIDS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 23, 2026

$4.6B

$3.2B

n/a

2024

Mar 14, 2025

$4.2B

$3.0B

n/a

2023

Mar 27, 2024

$3.8B

$2.7B

n/a

2022

Mar 30, 2023

$3.6B

$2.5B

n/a

2021

Mar 29, 2022

$4.3B

$2.9B

n/a

2020

Mar 30, 2021

$3.9B

$2.9B

n/a

2019

Mar 17, 2020

$3.3B

$2.5B

n/a

2018

Mar 14, 2019

$3.4B

n/a

2017

Mar 15, 2018

$3.5B

n/a

2016

Mar 17, 2017

$3.3B

n/a

2015

Mar 10, 2016

$3.1B

n/a

2014

Mar 27, 2015

$3.0B

$2.6B

n/a

2013

Mar 28, 2014

$2.7B

$2.3B

n/a

2012

Mar 22, 2013

$2.2B

n/a

2011

Mar 6, 2012

$2.1B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

10.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$4.6B

$4.2B

9.8%

$3.6B

8.3%