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

THE CAPITAL GROUP

THE CAPITAL GROUP INVESTMENT ADVISORS INC, CRD 129615

CRANSTON, RI

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:b098e271-4c4a-b9ac-e2d5-5811e1c523a1

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 31, 2012 to Jun 12, 2012
6 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: $58.5MItem 5.F on the latest filing (2012-06-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $50.0M
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: 1
RAUM per advisor: $58.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 467
SEC number: 801-69517
CRD: 129615
Filings on the tape: 6
First filed: Jan 31, 2012
Latest filed: Jun 12, 2012
Organised: Corporation, Rhode Island

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
BARRY MARC MISBIN	n/a	CRANSTON, RI	25	37	n/a	yes

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
MISBIN, BARRY, MARC	VICE PRESIDENT	D	yes	05/2001	Jan 31, 2012	Jun 12, 2012
RADOCCIA, ROBERT, JOHN	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	05/2001	Jan 31, 2012	Jun 12, 2012

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
THE CAPITAL GROUP FINANCIAL ADVISORS, INC.	n/a	n/a	n/a	N	yes	n/a
THE CAPITAL GROUP SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

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
2011	Jan 31, 2012	$58.5M	$50.0M	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
2011	$58.5M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← MISBIN, BARRY, MARCOwnerVICE PRESIDENT, ownership code D, individual
Jan 31, 2012 to presentfactForm ADV
← RADOCCIA, ROBERT, JOHNOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 31, 2012 to presentfactForm ADV

Registered with (2)

← BARRY MARC MISBINAdvisorregistration: current employment
Jun 20, 2001 to presentfactForm ADV
← ROBERT JOHN RADOCCIAAdvisorregistration: previous registration
Jun 20, 2001 to Dec 31, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b098e271-4c4a-b9ac-e2d5-5811e1c523a1
First observed: Jan 31, 2012
Last observed: Jun 12, 2012 173 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.

THE CAPITAL GROUP

THE CAPITAL GROUP INVESTMENT ADVISORS INC, CRD 129615

CRANSTON, RI

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:b098e271-4c4a-b9ac-e2d5-5811e1c523a1

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BARRY MARC MISBIN

n/a

CRANSTON, RI

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MISBIN, BARRY, MARC

VICE PRESIDENT

yes

05/2001

Jan 31, 2012

Jun 12, 2012

RADOCCIA, ROBERT, JOHN

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

05/2001

Jan 31, 2012

Jun 12, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THE CAPITAL GROUP FINANCIAL ADVISORS, INC.

n/a

yes

n/a

THE CAPITAL GROUP SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Jan 31, 2012

$58.5M

$50.0M

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

2011

$58.5M

n/a