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CRD 107315
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CAPFINANCIAL HOLDINGS, INC. | Member | C | yes | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| GOLDSTEIN, BENJAMIN, STUART | BOARD OF MANAGERS | F | yes | 04/2010 | Mar 27, 2023 | Mar 27, 2023 |
| GTCR FUND XII/B LP | Member | E | yes | 06/2020 | Mar 27, 2023 | Mar 27, 2023 |
| HALFTIME HOLDINGS LLC | VOTING AND NON-VOTING MEMBER | C | yes | 08/2020 | Mar 27, 2023 | Mar 27, 2023 |
| HOYLE, WILSON, SMITH | BOARD OF MANAGERS | F | yes | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| MILLER, JAMES, FIELDING | Director | C | yes | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| MILLER, JAMES, FIELDING | BOARD OF MANAGERS | F | yes | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| MONROE, JAMISON | CHAIRMAN/CEO/CFO | Na | yes | 12/1994 | Mar 23, 2012 | Mar 27, 2023 |
| SWANSON, JULIE, LYNN | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER/COO | Na | yes | 01/2003 | Mar 23, 2012 | Mar 27, 2023 |
| THE CAPFINANCIAL GROUP, LLC | OWNER/MEMBER | E | yes | 02/2023 | Mar 27, 2023 | Mar 27, 2023 |
| VOS, TIMOTHY, JOHN | CO-CHAIRMAN | Na | yes | 12/1994 | Mar 23, 2012 | Mar 27, 2023 |
| CALLAHAN, TIMOTHY, ALSTON RUCKER | EXECUTIVE VICE PRESIDENT | Na | no | 01/2003 | Mar 23, 2012 | Mar 27, 2023 |
| HOLLANDER, MICHAEL, S | BOARD OF MANAGERS | F | no | 06/2020 | Mar 27, 2023 | Mar 27, 2023 |
| ROCHE, COLLIN, EDWARD | BOARD OF MANAGERS | F | no | 06/2020 | Mar 27, 2023 | Mar 27, 2023 |
| SMITH, DASHA, MARIE | BOARD OF MANAGERS | F | no | 08/2020 | Mar 27, 2023 | Mar 27, 2023 |
| SOLOMON, ROBERT, G | BOARD OF MANAGERS | F | no | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| SOLOMON, ROBERT, G | Director | F | no | 05/2015 | Mar 27, 2023 | Mar 27, 2023 |
| Wilson, Mark, Sanford | BOARD OF MANAGERS | F | no | 06/2020 | Mar 27, 2023 | Mar 27, 2023 |
| 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 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Birmingham | Al | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2022 | Mar 27, 2023 | $5.9B | $0 | 17 | 5 | 1 | n/a | n/a |
| 2021 | Mar 24, 2022 | $7.1B | $0 | 17 | 5 | 1 | n/a | n/a |
| 2020 | Mar 30, 2021 | $6.5B | $0 | 18 | 5 | 1 | n/a | n/a |
| 2019 | Mar 30, 2020 | $5.6B | $0 | 18 | 5 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $5.0B | $0 | 18 | 5 | 1 | n/a | n/a |
| 2017 | Mar 30, 2018 | $5.4B | $0 | 19 | 6 | 1 | n/a | n/a |
| 2016 | Mar 30, 2017 | $4.9B | $0 | 19 | 6 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $5.7B | $0 | 17 | 5 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $5.8B | $0 | 15 | 5 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $5.3B | $0 | 7 | 6 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $5.2B | $0 | 8 | 8 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $5.2B | $0 | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $5.9B | $7.1B | -18.0% | $5.6B | 1.4% | 17 | 17 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| Captrust | 3 | Jul 31, 2023 | Mar 8, 2023 | HOUSTON, TX | Firm absorbed | Other | 100.0% |