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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CAPITALROCK FINANCIAL, LLC

CRD 281234

NAPLES, FL

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:d5d3c690-95db-1fa0-4c87-69e245f9b173

Data as of Mar 11, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 2
On other graphs: 0
Observed: May 28, 2019 to Mar 11, 2021
7 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-116852
CRD: 281234
Filings on the tape: 7
First filed: May 28, 2019
Latest filed: Mar 11, 2021
Organised: Limited Liability Company, Florida

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
ALBENGA, LOUIS, KARL	CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	Mar 11, 2021	Mar 11, 2021
IRONS, JOANNA, M	Member	D	yes	01/2017	May 28, 2019	Mar 11, 2021
SIMPSON, KEVIN, GLENN	Member	D	yes	01/2017	May 28, 2019	Mar 11, 2021

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 WEALTH PLANNING, LLC	n/a	Independent wealth	$17B	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
2019	Mar 30, 2020	$350M	$350M	22	13	2	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
2019	n/a	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LAIDLAW WEALTH MANAGEMENT LLC	8	Dec 31, 2020	Mar 11, 2021	NAPLES, FL	Firm absorbed	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PLATINUM WEALTH PARTNERS	2	Dec 11, 2017	Jul 31, 2018	TAMPA, FL	Team lift out	Other	12.5%

Relationships

Affiliated with (2)

→ CAPITAL WEALTH PLANNING, LLCRegistered adviserother investment adviser, common control
factForm ADV
← QUANTITATIVE INVESTMENT DECISIONS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← SIMPSON, KEVIN, GLENNOwnerMEMBER, ownership code D, individual
May 28, 2019 to presentfactForm ADV
← ALBENGA, LOUIS, KARLOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 11, 2021 to presentfactForm ADV
← IRONS, JOANNA, MOwnerMEMBER, ownership code D, individual
May 28, 2019 to presentfactForm ADV

Moved with (2)

→ LAIDLAW WEALTH MANAGEMENT LLCRegistered adviser8 advisors, firm absorbed, same day
Dec 31, 2020 to Mar 11, 2021factForm ADV
← PLATINUM WEALTH PARTNERSRegistered adviser2 advisors, team lift out
Dec 11, 2017 to Jul 31, 2018factForm ADV

Registered with (13)

← ANDREW JOSEPH KRONEAdvisorregistration: previous registration
Oct 2, 2019 to Dec 31, 2020factForm ADV
← Craig Daniel PriceAdvisorregistration: previous registration
Jul 2, 2018 to Dec 31, 2020factForm ADV
← Nancy ZehrAdvisorregistration: previous registration
Nov 5, 2018 to Dec 31, 2020factForm ADV
← MACKENZIE C RICKMANAdvisorregistration: previous registration
Dec 5, 2017 to Dec 31, 2020factForm ADV
← SEAN D MCVEYAdvisorregistration: previous registration
Jan 30, 2019 to Dec 31, 2020factForm ADV
← JENEE C PETERSAdvisorregistration: previous registration
Jul 31, 2018 to Dec 31, 2020factForm ADV
← Nelson PereiraAdvisorregistration: previous registration
Oct 25, 2019 to Dec 31, 2020factForm ADV
← LAURENCE ELLIOTT HULBERTAdvisorregistration: previous registration
Apr 6, 2018 to Dec 31, 2020factForm ADV
← Robin B HanoverAdvisorregistration: previous registration
Jun 26, 2018 to Nov 19, 2020factForm ADV
← John Richard GinnAdvisorregistration: previous registration
Jun 27, 2018 to Mar 25, 2020factForm ADV
← JOSHUA LEE SMITHAdvisorregistration: previous registration
Jan 19, 2017 to Aug 20, 2019factForm ADV
← Ryan Allen FrankelAdvisorregistration: previous registration
Apr 30, 2018 to May 9, 2018factForm ADV
← TROY M MAILLOUXAdvisorregistration: previous registration
Dec 3, 2015 to Jan 31, 2017factForm ADV

Dated events

Occurred
Mar 11, 2021
Control person joined
Karl Louis Albenga (Chief Compliance Officer) appeared on Schedule A of Capitalrock Financial, Llc
Form ADVobserved 5 days ago
Occurred
May 28, 2019
First Form ADV filing
Naples Wealth Planning filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5d3c690-95db-1fa0-4c87-69e245f9b173
First observed: May 28, 2019
Last observed: Mar 11, 2021 67 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.

CAPITALROCK FINANCIAL, LLC

CRD 281234

NAPLES, FL

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:d5d3c690-95db-1fa0-4c87-69e245f9b173

Data as of Mar 11, 2021 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALBENGA, LOUIS, KARL

CHIEF COMPLIANCE OFFICER

yes

03/2021

Mar 11, 2021

IRONS, JOANNA, M

Member

yes

01/2017

May 28, 2019

Mar 11, 2021

SIMPSON, KEVIN, GLENN

Member

yes

01/2017

May 28, 2019

Mar 11, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL WEALTH PLANNING, LLC

n/a

Independent wealth

$17B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 30, 2020

$350M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LAIDLAW WEALTH MANAGEMENT LLC

Dec 31, 2020

Mar 11, 2021

NAPLES, FL

Firm absorbed

RIA to RIA

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PLATINUM WEALTH PARTNERS

Dec 11, 2017

Jul 31, 2018

TAMPA, FL

Team lift out

Other

12.5%