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

Captrust Financial Advisors

Former SEC-registered adviserRaleigh, North CarolinaCRD 126291SEC 801-62193IAPD
Legal name Capfinancial Partners, LLC
Latest filing Oct 30, 2014
First filing on the tape Mar 1, 2012 · 9 filings
RAUM
$116B
reported, Item 5.F
Discretionary
3.1%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
310
92 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$116B as of Mar 31, 2014
Mar 1, 2012$69B then
HNW client RAUM: no history
State-registered IARs (5.B.3)114 as of Mar 31, 2014
Mar 28, 201390 then
Employees (5.A)285 as of Mar 31, 2014
Mar 28, 2013250 then
Private funds: no history
RAUM +39% over the last fiscal yearIARs 90 to 118
Practice profile
derived from the filing of Oct 30, 2014; every figure names its basis
RAUM per advisor
$985MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$31.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
3.1%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
6.2derived19 offices incl. principal (1.F.5)
RAUM growth, one year
+39%derivedbetween the last two annual amendments
Advisor growth, one year
+27%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
yesreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,646reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$0 for 5 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • James Fielding Miller · Manager, Ceocontrol
    since 02/2003 · owns less than 5%
  • James Fielding Miller · Ownercontrol
    since 10/1997 · owns 75% or more of The Capfinancial Group, Inc.
  • John Edmund Russell Appleby · Managing Director, Project Mgt & Acquisitions/Crop/Srop
    since 12/2009 · owns less than 5%
  • Denise Mcgee Buchanan · Cco/Muni Principal/Senior Director/Finop
    since 12/2009 · owns less than 5%
  • Eric James Freedman · Managing Director, Consulting Research Group
    since 12/2009 · owns less than 5%
  • Benjamin Stuart Goldstein · Managing Director, Business Operations Group
    since 04/2010 · owns less than 5%
  • Wilson Smith III Hoyle · Managing Director, Advisor Support Group
    since 12/2009 · owns less than 5%
  • Bonnie Annette Mccullough · Director Of Finance
    since 02/2012 · owns less than 5%
  • Derick Don Shoff · Managing Director, Advisor Support Group
    since 12/2009 · owns less than 5%
  • Michael David Strother · Finop
    since 07/2013 · owns less than 5%
Entity owners
  • The Capfinancial Group, Inc · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Captrust Financial Advisors as a related person
Offices
Schedule D 1.F, the 25 largest
  • Akron, OH
  • Atlanta, GA
  • Birmingham, AL
  • Charlotte, NC
  • Clarkston, MI
  • Dallas, TX
  • Doylestown, PA
  • Greenwich, CT
  • Houston, TX
  • Lake Mary, FL
  • Minneapolis, MN
  • New York, NY
  • Port Washington, NY
  • Richmond, VA
  • Riverside, CA
  • W Des Moines, IA
  • Washington, DC
  • Westlake Village, CA
What changed
consecutive filings, newest first
  • Advisory employees · 90 to 92
    Jul 11, 2014 to Oct 30, 2014
  • BD registered reps · 152 to 163
    Jul 11, 2014 to Oct 30, 2014
  • Employees · 285 to 310
    Jul 11, 2014 to Oct 30, 2014
  • State-registered IARs · 114 to 118
    Jul 11, 2014 to Oct 30, 2014
  • Accounts · 3,108 to 3,646
    Nov 11, 2013 to Mar 31, 2014
  • Advisory activities · 6 to 7
    Nov 11, 2013 to Mar 31, 2014
  • BD registered reps · 115 to 152
    Nov 11, 2013 to Mar 31, 2014
  • Employees · 250 to 285
    Nov 11, 2013 to Mar 31, 2014
  • Financial planning clients · 1-10 to 11-25
    Nov 11, 2013 to Mar 31, 2014
  • State-registered IARs · 90 to 114
    Nov 11, 2013 to Mar 31, 2014
  • Discretionary RAUM · $2.5B to $3.6B
    Nov 11, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $81B to $113B
    Nov 11, 2013 to Mar 31, 2014
  • RAUM · $83B to $116B
    Nov 11, 2013 to Mar 31, 2014
  • Accounts · 2,759 to 3,108
    Jan 29, 2013 to Mar 28, 2013
  • Employees · 230 to 250
    Jan 29, 2013 to Mar 28, 2013
  • Discretionary RAUM · $2.4B to $2.5B
    Jan 29, 2013 to Mar 28, 2013
  • Non-discretionary RAUM · $79B to $81B
    Jan 29, 2013 to Mar 28, 2013
  • RAUM · $81B to $83B
    Jan 29, 2013 to Mar 28, 2013
  • Related bank · true to false
    Jan 10, 2013 to Jan 29, 2013
  • Accounts · 2,713 to 2,759
    Apr 17, 2012 to Jan 10, 2013
  • Advisory employees · unset to 90.0
    Apr 17, 2012 to Jan 10, 2013
  • BD registered reps · unset to 115.0
    Apr 17, 2012 to Jan 10, 2013
  • Employees · unset to 230.0
    Apr 17, 2012 to Jan 10, 2013
  • State-registered IARs · unset to 90.0
    Apr 17, 2012 to Jan 10, 2013
  • Discretionary RAUM · $2.1B to $2.4B
    Apr 17, 2012 to Jan 10, 2013
  • Non-discretionary RAUM · $66B to $79B
    Apr 17, 2012 to Jan 10, 2013
  • RAUM · $69B to $81B
    Apr 17, 2012 to Jan 10, 2013
Signals
No event on the tape.
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