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

Capgroup Advisors

Former SEC-registered adviserRichmond, VirginiaCRD 139874SEC 801-66418IAPD
Legal name Capgroup Advisors, LLC
Latest filing Mar 28, 2014
First filing on the tape Mar 20, 2012 · 18 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
27%
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
15
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.2B as of Mar 28, 2014
Mar 20, 2012$946M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 20, 20120 then
Employees (5.A)15 as of Mar 28, 2014
Apr 1, 201314 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2014; 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • 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
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
516reported
Financial planning clients
51-100reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Coleman Todd Early · Managing Director (Member Of Management Team)control
      since 01/2011 · owns less than 5%
    • Tyrus Clavel Eubank · Managing Director (Member Of Management Team)control
      since 01/2003 · owns less than 5%
    • Ray Tommy French · Managing Director (Member Of Management Team)control
      since 09/2013 · owns less than 5%
    • Timothy John Jester · Managing Director (Member Of Management Team)control
      since 01/2011 · owns less than 5%
    • Karl Jeremy Kuhlen · Managing Director (Member Of Management Team)control
      since 01/2013 · owns less than 5%
    • Darwin James Rorrer · Managing Directorcontrol
      since 01/2011 · owns less than 5%
    • Christopher John White · Chief Operating Officer, Chief Compliance Officer, Managing Director (Member Of Management Team)control
      since 09/2013 · owns less than 5%
    Entity owners
    • Focus Operating, LLC · Member (Manager)
      direct · owns 75% or more
    • Focus Financial Partners, LLC · Member
      indirect · owns 75% or more of Focus Operating, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Capgroup Advisors as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 335 to 516
      Nov 19, 2013 to Mar 28, 2014
    • Advisory employees · 11 to 9
      Nov 19, 2013 to Mar 28, 2014
    • Employees · 14 to 15
      Nov 19, 2013 to Mar 28, 2014
    • Financial planning clients · 11-25 to 51-100
      Nov 19, 2013 to Mar 28, 2014
    • Discretionary RAUM · $240M to $308M
      Nov 19, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $742M to $850M
      Nov 19, 2013 to Mar 28, 2014
    • RAUM · $982M to $1.2B
      Nov 19, 2013 to Mar 28, 2014
    • Related insurance company · true to false
      Nov 19, 2013 to Mar 28, 2014
    • Accounts · 356 to 335
      Nov 8, 2012 to Apr 1, 2013
    • Advisory employees · 10 to 11
      Nov 8, 2012 to Apr 1, 2013
    • Employees · 15 to 14
      Nov 8, 2012 to Apr 1, 2013
    • Discretionary RAUM · $226M to $240M
      Nov 8, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $720M to $742M
      Nov 8, 2012 to Apr 1, 2013
    • RAUM · $946M to $982M
      Nov 8, 2012 to Apr 1, 2013
    • Advisory employees · unset to 10.0
      Oct 22, 2012 to Nov 8, 2012
    • BD registered reps · unset to 0.0
      Oct 22, 2012 to Nov 8, 2012
    • Employees · unset to 15.0
      Oct 22, 2012 to Nov 8, 2012
    • Business name · CAPGROUP ADVISORS, LLC to CAPGROUP ADVISORS
      Jun 1, 2012 to Aug 1, 2012
    • Business name · CAPITAL ADVISORY GROUP to CAPGROUP ADVISORS, LLC
      May 29, 2012 to Jun 1, 2012
    • Legal name · CAPITAL ADVISORY GROUP, LLC to CAPGROUP ADVISORS, LLC
      May 29, 2012 to Jun 1, 2012
    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