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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CAPITAL GROWTH & SHELTER, INC.

CRD 126092

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:a04336d4-0253-b754-6f94-c817e8832316

Data as of Sep 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Apr 14, 2014 to Sep 25, 2024
18 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: $33.3MItem 5.F on the latest filing (2024-09-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $33.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 1
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 181
Individual clients: 176
High net worth clients: 5
SEC number: 801-79630
CRD: 126092
Filings on the tape: 18
First filed: Apr 14, 2014
Latest filed: Sep 25, 2024
Organised: Corporation, New York

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
HOOKER, KENNETH, LARRY	PRESIDENT & CCO	E	yes	08/1988	Apr 14, 2014	Sep 25, 2024
TOBEY, COLLEEN	BUSINESS MANAGER	Na	no	10/2021	Jan 11, 2021	Sep 25, 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
KENNETH L HOOKER	n/a	n/a	n/a	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
n/a	n/a	n/a	1	yes

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
2023	Mar 27, 2024	$33.3M	$0	2	1	2	n/a	n/a
2022	Mar 1, 2023	$31.2M	$31.2M	2	2	0	n/a	n/a
2021	Feb 24, 2022	$41.9M	$41.9M	2	2	0	n/a	n/a
2020	Jan 11, 2021	$40.4M	$40.4M	2	2	0	n/a	n/a
2019	Jan 8, 2020	$37.7M	$37.7M	1	1	0	n/a	n/a
2018	Feb 1, 2019	$35.5M	$0	1	1	0	n/a	n/a
2017	Feb 8, 2018	$33.7M	$33.7M	1	1	0	n/a	n/a
2016	Feb 6, 2017	$29.4M	$0	1	1	n/a	n/a	n/a
2015	Feb 15, 2016	$29.5M	$0	1	1	n/a	n/a	n/a
2014	Feb 17, 2015	$29.7M	$0	1	1	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
2023	$33.3M	$31.2M	6.7%	$40.4M	-6.3%	2	2	2	0

Relationships

Controls (1)

← HOOKER, KENNETH, LARRYOwnerPRESIDENT & CCO, ownership code E, individual
Apr 14, 2014 to presentfactForm ADV

Owns (1)

← TOBEY, COLLEENOwnerBUSINESS MANAGER, ownership code NA, individual
Jan 11, 2021 to presentfactForm ADV

Registered with (1)

← COLLEEN TOBEYAdvisorregistration: previous registration
Oct 12, 2021 to Oct 4, 2024factForm ADV

Dated events

Occurred
Oct 4, 2024
Advisor changed firm
Colleen Tobey left Capital Growth & Shelter, Inc. for Cetera Investment Advisers Llc (registered 2024-03-21)
Form ADVobserved 6 days ago
Occurred
Jan 11, 2021
Control person joined
Colleen Tobey (Business Manager) appeared on Schedule A of Capital Growth & Shelter, Inc.
Form ADVobserved 6 days ago
Occurred
Apr 14, 2014
First Form ADV filing
Capital Growth & Shelter, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a04336d4-0253-b754-6f94-c817e8832316
First observed: Apr 14, 2014
Last observed: Sep 25, 2024 24 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 GROWTH & SHELTER, INC.

CRD 126092

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:a04336d4-0253-b754-6f94-c817e8832316

Data as of Sep 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOOKER, KENNETH, LARRY

PRESIDENT & CCO

yes

08/1988

Apr 14, 2014

Sep 25, 2024

TOBEY, COLLEEN

BUSINESS MANAGER

10/2021

Jan 11, 2021

Sep 25, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KENNETH L HOOKER

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 27, 2024

$33.3M

n/a

2022

Mar 1, 2023

$31.2M

n/a

2021

Feb 24, 2022

$41.9M

n/a

2020

Jan 11, 2021

$40.4M

n/a

2019

Jan 8, 2020

$37.7M

n/a

2018

Feb 1, 2019

$35.5M

n/a

2017

Feb 8, 2018

$33.7M

n/a

2016

Feb 6, 2017

$29.4M

n/a

2015

Feb 15, 2016

$29.5M

n/a

2014

Feb 17, 2015

$29.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$33.3M

$31.2M

6.7%

$40.4M

-6.3%