DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Capital Advisors, Inc.

Former SEC-registered adviserTulsa, OklahomaCRD 104643SEC 801-14050websiteIAPD
Latest filing Mar 16, 2026
First filing on the tape Dec 16, 2011 · 85 filings
SEC status approved since Sep 18, 1978
RAUM
$7.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$6.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
69
35 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
85 filings and snapshots on the tape
RAUM$7.4B as of Mar 16, 2026
Mar 27, 2012$1.1B then
HNW client RAUM$4.5B as of Mar 16, 2026
Mar 21, 2018$1.4B then
State-registered IARs (5.B.3)38 as of Mar 16, 2026
Mar 5, 201310 then
Employees (5.A)69 as of Mar 16, 2026
Mar 5, 201316 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 36 to 38
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
RAUM per advisor
$195MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$949,073derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.2derived12 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+5.6%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$123M, 84 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.5B61%
  • Individuals$2.1B28%
  • Charitable organizations$456M6.1%
  • Investment companies$160M2.2%
  • Corporations and businesses$113M1.5%
  • Pension and profit-sharing plans$91.4M1.2%
Individual clients
1,771reported
HNW clients
1,491reported
Pension plan clients
11reported
Charitable clients
19reported
Accounts
7,827reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $32.4M managedreported
Custody of client assets
$123M for 84 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Anderson George Brown · Presidentcontrol
    since 12/2002 · owns 10% to 25%
  • Charles Keith Goddard · Chief Executive Officer And Chief Investment Officercontrol
    since 12/2002 · owns less than 5%
  • Lynn Debra Konieczny · Chief Compliance Officercontrol
    since 04/2012 · owns less than 5%
  • Layne Jessica Montgomery · Chief Financial Officercontrol
    since 01/2020 · owns less than 5%
  • Lynn Jamie Wilson · Chief Operating Officer, Managing Director, And Secretary Of The Boardcontrol
    since 06/2020 · owns less than 5%
  • Charles Keith Goddard · Trusteecontrol
    since 10/2004 · owns 50% to 75% of Goddard, Keith, Charles
Entity owners
  • Keith C. Goddard Revocable Trust Dated 10/19/2004 · Shareholder
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
  • Sean Hennessee
    y
  • William Jacob Freudenrich
    insurancey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Denver, Co000
Farmington, Ut001
Frisco, Tx000
Tulsa, Ok · principal000
Offices
Schedule D 1.F, the 25 largest
  • Frisco, TX7 employees
  • Tulsa, OK5 employees
  • Austin, TX3 employees
  • Houston, TX2 employees
  • Henderson, NV1 employees
  • Nashville, TN1 employees
  • Oklahoma City, OK1 employees
  • Phoenix, AZ1 employees
  • San Antonio, TX1 employees
  • Denver, CO1 employees
  • Birmingham, AL1 employees
What changed
consecutive filings, newest first
  • Accounts · 7,297 to 7,827
    Sep 18, 2025 to Mar 16, 2026
  • Advisory employees · 33 to 35
    Sep 18, 2025 to Mar 16, 2026
  • Charity clients · 17 to 19
    Sep 18, 2025 to Mar 16, 2026
  • HNW clients · 1,407 to 1,491
    Sep 18, 2025 to Mar 16, 2026
  • Individual clients · 1,663 to 1,771
    Sep 18, 2025 to Mar 16, 2026
  • Pension plan clients · 12 to 11
    Sep 18, 2025 to Mar 16, 2026
  • Assets in custody · $54.3M to $123M
    Sep 18, 2025 to Mar 16, 2026
  • Employees · 60 to 69
    Sep 18, 2025 to Mar 16, 2026
  • State-registered IARs · 36 to 38
    Sep 18, 2025 to Mar 16, 2026
  • Discretionary RAUM · $6.1B to $7.4B
    Sep 18, 2025 to Mar 16, 2026
  • HNW RAUM · $3.7B to $4.5B
    Sep 18, 2025 to Mar 16, 2026
  • Individual RAUM · $1.7B to $2.1B
    Sep 18, 2025 to Mar 16, 2026
  • Non-discretionary RAUM · $5.3M to $6.2M
    Sep 18, 2025 to Mar 16, 2026
  • Pension RAUM · $55.5M to $91.4M
    Sep 18, 2025 to Mar 16, 2026
  • RAUM · $6.1B to $7.4B
    Sep 18, 2025 to Mar 16, 2026
  • Wrap assets (manager) · $29.1M to $32.4M
    Sep 18, 2025 to Mar 16, 2026
  • Financial planning clients · 251-500 to 251-500
    Mar 14, 2025 to Jul 7, 2025
  • Accounts · 6,518 to 7,297
    Jan 9, 2025 to Mar 14, 2025
  • Advisory employees · 38 to 33
    Jan 9, 2025 to Mar 14, 2025
  • Charity clients · 15 to 17
    Jan 9, 2025 to Mar 14, 2025
  • Corporate clients · 19 to 18
    Jan 9, 2025 to Mar 14, 2025
  • HNW clients · 1,270 to 1,407
    Jan 9, 2025 to Mar 14, 2025
  • Individual clients · 1,547 to 1,663
    Jan 9, 2025 to Mar 14, 2025
  • Pension plan clients · 11 to 12
    Jan 9, 2025 to Mar 14, 2025
  • Assets in custody · unset to 54346831.0
    Jan 9, 2025 to Mar 14, 2025
  • Custody of client assets · false to true
    Jan 9, 2025 to Mar 14, 2025
  • Employees · 59 to 60
    Jan 9, 2025 to Mar 14, 2025
  • State-registered IARs · 38 to 36
    Jan 9, 2025 to Mar 14, 2025
  • Other offices · 9 to 11
    Jan 9, 2025 to Mar 14, 2025
  • Discretionary RAUM · $5.0B to $6.1B
    Jan 9, 2025 to Mar 14, 2025
  • HNW RAUM · $3.5B to $3.7B
    Jan 9, 2025 to Mar 14, 2025
  • Individual RAUM · $1.4B to $1.7B
    Jan 9, 2025 to Mar 14, 2025
  • Non-discretionary RAUM · $462M to $5.3M
    Jan 9, 2025 to Mar 14, 2025
  • Pension RAUM · $46.8M to $55.5M
    Jan 9, 2025 to Mar 14, 2025
  • RAUM · $5.5B to $6.1B
    Jan 9, 2025 to Mar 14, 2025
  • Wrap assets (manager) · $25.7M to $29.1M
    Jan 9, 2025 to Mar 14, 2025
  • Other offices · 11 to 9
    Jul 26, 2024 to Jan 9, 2025
  • Advisory activities · 4 to 5
    Mar 4, 2024 to Jul 26, 2024
  • Other offices · 10 to 11
    Mar 4, 2024 to Jul 26, 2024
  • Accounts · 2,625 to 6,518
    Mar 13, 2023 to Mar 4, 2024
Signals
15 dated events
  • Capital Advisors, Inc. no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $7.4B)
    Sep 1, 2026 · Left the SEC roster · derived
  • Travis Robert Hensley left Capital Advisors, Inc. for Focus Partners Wealth, Llc (registered 2026-04-08)
    Mar 11, 2026 · Advisor changed firm · fact
  • Jordan Bradford Peterson left Capital Advisors, Inc. for Prime Capital Financial (registered 2025-08-12)
    May 2, 2025 · Advisor changed firm · fact
  • Heidi Ann Collins left Capital Advisors, Inc. for Raymond James & Associates, Inc. (registered 2024-12-05)
    Dec 2, 2024 · Advisor changed firm · fact
  • Joshua Hunter Barditch left Capital Advisors, Inc. for Corient (registered 2026-07-29)
    Nov 25, 2024 · Advisor changed firm · fact
  • Nathan David Stewart left Capital Advisors, Inc. for Alphacore Capital Llc (registered 2024-09-25)
    Sep 20, 2024 · Advisor changed firm · fact
  • Aubrey Jean Socha left Capital Advisors, Inc. for Schwab Wealth Advisory, Inc. (registered 2024-07-30)
    Jul 23, 2024 · Advisor changed firm · fact
  • William J Freudenrich left Capital Advisors, Inc. for Morgan Stanley (registered 2024-04-19)
    Apr 11, 2024 · Advisor changed firm · fact
  • Capital Advisors, Inc. reported RAUM $5.5B, up 29% from $4.3B (2023-03-13 to 2024-03-04)
    Mar 4, 2024 · RAUM change · derived
  • Raul Rodriguez left Capital Advisors, Inc. for Compound Advisers, Inc. (registered 2023-03-28)
    Feb 16, 2023 · Advisor changed firm · fact
  • Julie Kay Nielsen left Capital Advisors, Inc. for Vann Equity Management Llc (registered 2024-07-03)
    Jul 8, 2022 · Advisor changed firm · fact
  • Vivian La Bang left Capital Advisors, Inc. for Charles Schwab & Co., Inc. (registered 2022-06-28)
    Apr 8, 2022 · Advisor changed firm · fact
  • Capital Advisors, Inc. reported RAUM $4.4B, up 27% from $3.5B (2021-11-05 to 2022-02-25)
    Feb 25, 2022 · RAUM change · derived
  • Layne Jessica Montgomery (Chief Financial Officer) appeared on Schedule A of Capital Advisors, Inc.
    Jun 11, 2020 · Control person joined · fact
  • Capital Advisors, Inc. reported RAUM $2.8B, up 29% from $2.2B (2019-07-17 to 2020-03-29)
    Mar 29, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026