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 One Advisors, LLC
Latest filing Mar 29, 2019
First filing on the tape Dec 2, 2011 · 61 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
67
6 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$31.2M as of Mar 29, 2018
Mar 30, 2016$16,119 then
HNW client RAUM: no history
State-registered IARs (5.B.3)49 as of Mar 29, 2019
Nov 16, 201270 then
Employees (5.A)67 as of Mar 29, 2019
Nov 16, 201270 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 305 to 49offices 228 to 10
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -84%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 6,736reported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- Kimberly Kay Miller to Kestra Advisory Services, LLCAug 1, 2019 · Other
- Matthew J Davis to Fairway PlanningAug 1, 2019 · Other
- Paul Morgan Hopkins to Sharebuilder 401kAug 1, 2019 · Other
- Christopher Keith Wilkinson to Sharebuilder 401kAug 1, 2019 · Other
- Vince Hacut to Sharebuilder 401kAug 1, 2019 · Other
- Stuart Remley Robertson to Sharebuilder 401kAug 1, 2019 · Other
- Phillip Charles Donald to Sharebuilder 401kAug 1, 2019 · Other
- Kelly Lee Ausburn to Sharebuilder 401kAug 1, 2019 · Other
- Nicholas George Tsiakilos to Sharebuilder 401kAug 1, 2019 · Other
- Neetul K Sharma to Citigroup Global Markets Inc.Jul 23, 2019 · Other
- Cheri Christine Nelson to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 9, 2019 · Other
- Corbin James Lykins to Charles Schwab & Co., Inc.Jul 8, 2019 · Other
- Bennie Wanda Hargrove to Lincoln InvestmentJun 13, 2019 · Other
- Daniel W Glazier to Fidelity Personal And Workplace AdvisorsJun 13, 2019 · Other
- Nicholas Joseph Gaetani to Mallard Financial Partners IncJun 13, 2019 · Other
Joined, latest
- Jill Marie Zacha from Clark Investment Strategies, Inc.Mar 16, 2018 · Other
- Candice Lee Gilman from Wells Fargo AdvisorsSep 21, 2017 · Other
- Anupa Ann Philip from Wells Fargo AdvisorsSep 20, 2017 · Other
- Michael Lewis Pritchard from Citigroup Global Markets Inc.Sep 18, 2017 · Other
- Zachary William Robinson from Wells Fargo AdvisorsSep 14, 2017 · Other
- James Robert Quigley from E*Trade Capital Management, LLCSep 13, 2017 · Other
- Freddie Latron Broadway from Usaa Financial Planning ServicesSep 11, 2017 · Other
- Ghazi Nweiran from MML Investors Services, LLCAug 8, 2017 · Other
- Bill Nick Polizos from Morgan StanleyAug 3, 2017 · Other
- Jun Michael Tang from Usaa Financial Planning ServicesJun 29, 2017 · Other
- Melissa Leah Weeks-Billeg from First Command Advisory ServicesJun 19, 2017 · Other
- Jonathan Hunter King from Edward JonesJun 15, 2017 · Other
- John Christian Scala from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 13, 2017 · Other
- Kimberly Kay Miller from Momentum Independent Network Inc.Jun 9, 2017 · Other
- Meeshan Antonio Reid from MML Investors Services, LLCJun 8, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Sharebuilder 401kAug 1, 2019 · Mclean, Va
- 4 left for Sharebuilder 401kAug 1, 2019 · Seattle, Wa
- 2 left for J.P. Morgan Securities LLCFeb 12, 2019 · Mclean, Va
- 2 left for Fidelity Personal And Workplace AdvisorsFeb 7, 2019 · Mclean, Va
- 2 left for Osaic Fa, Inc.Jul 31, 2018 · Mclean, Va
- 2 left for J.P. Morgan Securities LLCJun 15, 2018 · Mclean, Va
- 2 left for Cetera Investment Advisers LLCMay 3, 2018 · Mclean, Va
- 5 left for J.P. Morgan Securities LLCApr 24, 2018 · Mclean, Va
- 2 joined from J.P. Morgan Securities LLCFeb 27, 2015 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Danielle Kristen Constantino · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- Robert Charles Devaney · President Of Capital One Advisors, LLCcontrolsince 03/2018 · owns less than 5%
- Ann Allison Ferko · Coa General Counselcontrolsince 04/2016 · owns less than 5%
- Mary Papa · Financial Officersince 04/2018 · owns less than 5%
Entity owners
- Capital One Financial Investing, LLC · Member, Parent Company, Total Equity Ownerdirect · owns 75% or more
- Capital One Direct Securities Inc. · Parentindirect · owns 75% or more of Capital One Financial Investing, LLC
- Capital One Financial Corporation · Ownerindirect · owns 75% or more of Capital One Direct Securities, Inc. · public reporting company
Related persons
Schedule D 7.A
- Capital One Bank (USA), N.A.n
- Capital One Investing, LLCbroker-dealern
- Capital One Securities, Inc.broker-dealern
- Capital One, N.A.n
Advisers that list Capital One Advisors, LLC as a related person
- 110533 n
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA2 employees
- Wilmington, DE2 employees
- New Orleans, LA1 employees
- Edison, NJ1 employees
- Houston, TX
- Glen Allen, VA
- Plano, TX
- Richmond, VA
- San Francisco, CA
- ,
What changed
consecutive filings, newest first
- Advisory employees · 20 to 6Jan 28, 2019 to Mar 29, 2019
- BD registered reps · 95 to 42Jan 28, 2019 to Mar 29, 2019
- Pension plan clients · 4,991 to 6,736Jan 28, 2019 to Mar 29, 2019
- Employees · 98 to 67Jan 28, 2019 to Mar 29, 2019
- State-registered IARs · 98 to 49Jan 28, 2019 to Mar 29, 2019
- Other offices · 228 to 10Jan 28, 2019 to Mar 29, 2019
- Accounts · 384.0 to unsetSep 14, 2018 to Nov 26, 2018
- Advisory employees · 65 to 20Sep 14, 2018 to Nov 26, 2018
- Advisory activities · 3 to 4Sep 14, 2018 to Nov 26, 2018
- BD registered reps · 202 to 95Sep 14, 2018 to Nov 26, 2018
- Corporate clients · 47.0 to unsetSep 14, 2018 to Nov 26, 2018
- HNW clients · 191.0 to unsetSep 14, 2018 to Nov 26, 2018
- Individual clients · 13766.0 to unsetSep 14, 2018 to Nov 26, 2018
- Pension plan clients · unset to 4991.0Sep 14, 2018 to Nov 26, 2018
- Custody of client assets · true to falseSep 14, 2018 to Nov 26, 2018
- Employees · 206 to 98Sep 14, 2018 to Nov 26, 2018
- State-registered IARs · 202 to 98Sep 14, 2018 to Nov 26, 2018
- Discretionary RAUM · 31191852.0 to unsetSep 14, 2018 to Nov 26, 2018
- Individual RAUM · 31191852.0 to unsetSep 14, 2018 to Nov 26, 2018
- Non-discretionary RAUM · 0.0 to unsetSep 14, 2018 to Nov 26, 2018
- RAUM · 31191852.0 to unsetSep 14, 2018 to Nov 26, 2018
- Wrap assets (manager) · 0.0 to unsetSep 14, 2018 to Nov 26, 2018
- Wrap assets (sponsor) · 0.0 to unsetSep 14, 2018 to Nov 26, 2018
- Advisory employees · 206 to 65Mar 29, 2018 to Jun 5, 2018
- BD registered reps · 398 to 202Mar 29, 2018 to Jun 5, 2018
- Employees · 798 to 206Mar 29, 2018 to Jun 5, 2018
- State-registered IARs · 305 to 202Mar 29, 2018 to Jun 5, 2018
- Accounts · 204 to 384Sep 18, 2017 to Mar 29, 2018
- Advisory employees · 290 to 206Sep 18, 2017 to Mar 29, 2018
- BD registered reps · 541 to 398Sep 18, 2017 to Mar 29, 2018
- Corporate clients · unset to 47.0Sep 18, 2017 to Mar 29, 2018
- HNW clients · unset to 191.0Sep 18, 2017 to Mar 29, 2018
- Individual clients · unset to 13766.0Sep 18, 2017 to Mar 29, 2018
- Employees · 681 to 798Sep 18, 2017 to Mar 29, 2018
- State-registered IARs · 350 to 305Sep 18, 2017 to Mar 29, 2018
- Other offices · unset to 228.0Sep 18, 2017 to Mar 29, 2018
- Discretionary RAUM · $8.1M to $31.2MSep 18, 2017 to Mar 29, 2018
- Individual RAUM · unset to 31191852.0Sep 18, 2017 to Mar 29, 2018
- RAUM · $8.1M to $31.2MSep 18, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 0.0Sep 18, 2017 to Mar 29, 2018
Signals
8 dated events
- Capital One Advisors, Llc reported 49 state-registered advisory representatives, down from 98 (2019-01-28 to 2019-03-29)Mar 29, 2019 · Advisor headcount change · derived
- Capital One Advisors, Llc reported 10 offices beyond its principal office, down from 228 (2019-01-28 to 2019-03-29)Mar 29, 2019 · Office count change · derived
- Remley Stuart Robertson (Head Of 401K Advisor Services) no longer on Schedule A of Capital One Advisors, Llc (listed 2018-11-26, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
- Gonzalez Jerrold Mauricio (Chief Compliance Officer) no longer on Schedule A of Capital One Advisors, Llc (listed 2018-11-26, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
- Danielle Kristen Constantino (Chief Compliance Officer) appeared on Schedule A of Capital One Advisors, LlcJan 23, 2019 · Control person joined · fact
- Capital One Advisors, Llc reported 98 state-registered advisory representatives, down from 202 (2018-09-14 to 2018-11-26)Nov 26, 2018 · Advisor headcount change · derived
- Capital One Advisors, Llc reported 202 state-registered advisory representatives, down from 305 (2018-03-29 to 2018-06-05)Jun 5, 2018 · Advisor headcount change · derived
- Capital One Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)May 11, 2017 · Succession (Item 4) · fact
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