DFX Intelligence

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

CAPITAL COVE FINANCIAL

CAPITAL COVE BANCORP LLC, CRD 155705

RANCHO CUCAMONGA, CA

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:b0c5320c-6111-ab2c-5962-a6d93e5fd8f0

Data as of Dec 23, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2012 to Dec 23, 2013
5 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: $62.0MItem 5.F on the latest filing (2013-12-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $45.0M
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: 0
Employees: 30
Advisory employees: 5
Accounts: 78
Custody, client assets: $45.0M
SEC number: 801-72018
CRD: 155705
Filings on the tape: 5
First filed: Jul 3, 2012
Latest filed: Dec 23, 2013
Organised: Limited Liability Company, Delaware

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
KHALFANI, RASHID, KHALID	SR. MANAGING DIRECTOR AND ACTING CHIEF COMPLIANCE OFFICER (CCO)	B	yes	11/2010	Jul 3, 2012	Dec 23, 2013

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
CAPITAL COVE BANCORP LLC	n/a	Former SEC adviser	$62.0M	N	no	n/a
CAPITAL COVE INTERNATIONAL INC.	n/a	n/a	n/a	N	no	CA

Offices

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

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	n/a	no
NEWPORT BEACH	CA	United States	n/a	no
Ontario	CA	United States	n/a	no
RANCHO CUCAMONGA	CA	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
2012	Jul 5, 2013	$62.0M	$45.0M	30	5	n/a	n/a	n/a
2011	Jul 3, 2012	$45.0M	$35.0M	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
2012	$62.0M	$45.0M	37.8%	n/a	n/a	30	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ CAPITAL COVE FINANCIALRegistered adviserother investment adviser
factForm ADV

Controls (1)

← KHALFANI, RASHID, KHALIDOwnerSR. MANAGING DIRECTOR AND ACTING CHIEF COMPLIANCE OFFICER (CCO), ownership code B, individual
Jul 3, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0c5320c-6111-ab2c-5962-a6d93e5fd8f0
First observed: Jul 3, 2012
Last observed: Dec 23, 2013 155 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 COVE FINANCIAL

CAPITAL COVE BANCORP LLC, CRD 155705

RANCHO CUCAMONGA, CA

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:b0c5320c-6111-ab2c-5962-a6d93e5fd8f0

Data as of Dec 23, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KHALFANI, RASHID, KHALID

SR. MANAGING DIRECTOR AND ACTING CHIEF COMPLIANCE OFFICER (CCO)

yes

11/2010

Jul 3, 2012

Dec 23, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL COVE BANCORP LLC

n/a

Former SEC adviser

$62.0M

n/a

CAPITAL COVE INTERNATIONAL INC.

n/a

City

State

Country

Employees

Also broker-dealer

LOS ANGELES

United States

n/a

NEWPORT BEACH

United States

n/a

Ontario

United States

n/a

RANCHO CUCAMONGA

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Jul 5, 2013

$62.0M

$45.0M

n/a

2011

Jul 3, 2012

$45.0M

$35.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$62.0M

$45.0M

37.8%

n/a