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.

SEC-registered adviser

Capital Bank And Trust Company

Asset manager (funds and pooled vehicles)Irvine, CaliforniaCRD 170017SEC 801-79234websiteIAPD
Latest filing May 29, 2026
First filing on the tape Feb 13, 2014 · 40 filings
SEC status approved since Feb 26, 2014
RAUM
$139B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.4%
$3.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
121
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$139B as of May 29, 2026
Sep 29, 2014$12B then
HNW client RAUM$3.4B as of May 29, 2026
Sep 28, 2018$18B then
State-registered IARs (5.B.3)0 as of May 29, 2026
Sep 29, 20140 then
Employees (5.A)121 as of May 29, 2026
Sep 29, 2014182 then
Private funds1 as of Sep 28, 2020
Sep 28, 20161 then
RAUM +207% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 29, 2026; 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
$6.7MderivedHNW RAUM over HNW clients
Average account
$241MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%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
+67%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$135B, 73 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
  • is a trust company (6.A.8)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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 securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$135B97%
  • High-net-worth individuals$3.4B2.4%
  • Charitable organizations$571M0.4%
Individual clients
n/areported
HNW clients
501reported
Pension plan clients
n/areported
Charitable clients
14reported
Accounts
579reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$135B for 73 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.02 fund_share=0.97 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Thomas Kevin Burke · Directorcontrol
    since 01/2016 · owns less than 5%
  • C. Michelle Kerrick · Directorcontrol
    since 01/2024 · owns less than 5%
  • Wesley Janet Lamkin · Directorcontrol
    since 09/2021 · owns less than 5%
  • Mie Kristine Nishiyama · Director, Chair, Senior Vice President And General Counselcontrol
    since 03/2013 · owns less than 5%
  • Zarifeh Sahar Naseem Nixon · Chief Compliance Officercontrol
    since 06/2024 · owns less than 5%
  • Michael Kevin Saks · Director And Presidentcontrol
    since 02/2023 · owns less than 5%
  • Michele Susi Silverman · Treasurer & Controllercontrol
    since 05/2009 · owns less than 5%
  • Carmelo Spinella · Directorcontrol
    since 07/2009 · owns less than 5%
Entity owners
  • The Capital Group Companies, Inc. · Stockholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Capital Bank And Trust Company as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 536 to 579
    Jul 1, 2025 to Sep 26, 2025
  • Charity clients · 22 to 14
    Jul 1, 2025 to Sep 26, 2025
  • Corporate clients · unset to 1.0
    Jul 1, 2025 to Sep 26, 2025
  • HNW clients · 464 to 501
    Jul 1, 2025 to Sep 26, 2025
  • Pension plan clients · 3.0 to unset
    Jul 1, 2025 to Sep 26, 2025
  • Pooled vehicle clients · 45 to 61
    Jul 1, 2025 to Sep 26, 2025
  • Assets in custody · $73B to $135B
    Jul 1, 2025 to Sep 26, 2025
  • Employees · 151 to 121
    Jul 1, 2025 to Sep 26, 2025
  • Discretionary RAUM · $76B to $139B
    Jul 1, 2025 to Sep 26, 2025
  • HNW RAUM · $2.7B to $3.4B
    Jul 1, 2025 to Sep 26, 2025
  • Pension RAUM · 6963999205.0 to unset
    Jul 1, 2025 to Sep 26, 2025
  • Pooled vehicle RAUM · $66B to $135B
    Jul 1, 2025 to Sep 26, 2025
  • RAUM · $76B to $139B
    Jul 1, 2025 to Sep 26, 2025
  • Financial planning clients · unset to
    Jan 31, 2025 to Jul 1, 2025
  • Accounts · 64 to 536
    Jun 7, 2024 to Sep 27, 2024
  • Charity clients · 18 to 22
    Jun 7, 2024 to Sep 27, 2024
  • HNW clients · unset to 464.0
    Jun 7, 2024 to Sep 27, 2024
  • Pooled vehicle clients · 41 to 45
    Jun 7, 2024 to Sep 27, 2024
  • Assets in custody · $45B to $73B
    Jun 7, 2024 to Sep 27, 2024
  • Employees · 187 to 151
    Jun 7, 2024 to Sep 27, 2024
  • Discretionary RAUM · $45B to $76B
    Jun 7, 2024 to Sep 27, 2024
  • HNW RAUM · unset to 2738680334.0
    Jun 7, 2024 to Sep 27, 2024
  • Pension RAUM · $5.9B to $7.0B
    Jun 7, 2024 to Sep 27, 2024
  • Pooled vehicle RAUM · $40B to $66B
    Jun 7, 2024 to Sep 27, 2024
  • RAUM · $45B to $76B
    Jun 7, 2024 to Sep 27, 2024
  • Advisory employees · 1 to 0
    Feb 21, 2023 to Sep 28, 2023
  • Charity clients · 19 to 18
    Feb 21, 2023 to Sep 28, 2023
  • Pooled vehicle clients · 40 to 41
    Feb 21, 2023 to Sep 28, 2023
  • Assets in custody · $34B to $45B
    Feb 21, 2023 to Sep 28, 2023
  • Employees · 183 to 187
    Feb 21, 2023 to Sep 28, 2023
  • State-registered IARs · 1 to 0
    Feb 21, 2023 to Sep 28, 2023
  • Other offices · 1 to 0
    Feb 21, 2023 to Sep 28, 2023
  • Discretionary RAUM · $34B to $45B
    Feb 21, 2023 to Sep 28, 2023
  • Pension RAUM · $5.2B to $5.9B
    Feb 21, 2023 to Sep 28, 2023
  • Pooled vehicle RAUM · $29B to $40B
    Feb 21, 2023 to Sep 28, 2023
  • RAUM · $34B to $45B
    Feb 21, 2023 to Sep 28, 2023
  • Accounts · 61 to 64
    Jan 19, 2022 to Sep 28, 2022
  • Advisory employees · 0 to 1
    Jan 19, 2022 to Sep 28, 2022
  • Charity clients · 20 to 19
    Jan 19, 2022 to Sep 28, 2022
  • Pooled vehicle clients · 36 to 40
    Jan 19, 2022 to Sep 28, 2022
Signals
21 dated events
  • Capital Bank And Trust Company reported RAUM $139.3B, up 84% from $75.9B (2025-07-01 to 2025-09-26)
    Sep 26, 2025 · RAUM change · derived
  • Capital Bank And Trust Company reported RAUM $75.9B, up 67% from $45.4B (2024-06-07 to 2024-09-27)
    Sep 27, 2024 · RAUM change · derived
  • Yungtai Herbert Poon (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2024-03-11, absent 2024-06-07)
    Jun 7, 2024 · Control person left · inference
  • Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
    Jun 7, 2024 · Control person joined · fact
  • C. Michelle Kerrick (Director) appeared on Schedule A of Capital Bank And Trust Company
    Mar 11, 2024 · Control person joined · fact
  • Patrick Roy Dennis Codon (Director) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-12-06, absent 2024-03-11)
    Mar 11, 2024 · Control person left · inference
  • Moran Jessica Zerges (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-09-28, absent 2023-12-06)
    Dec 6, 2023 · Control person left · inference
  • Yungtai Herbert Poon (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
    Dec 6, 2023 · Control person joined · fact
  • Capital Bank And Trust Company reported RAUM $45.4B, up 32% from $34.3B (2023-02-21 to 2023-09-28)
    Sep 28, 2023 · RAUM change · derived
  • Doclar Laura Muller (Director And President) no longer on Schedule A of Capital Bank And Trust Company (listed 2023-01-26, absent 2023-02-21)
    Feb 21, 2023 · Control person left · inference
  • Michael Kevin Saks (Director And President) appeared on Schedule A of Capital Bank And Trust Company
    Feb 21, 2023 · Control person joined · fact
  • Wesley Janet Lamkin (Director) appeared on Schedule A of Capital Bank And Trust Company
    Jan 26, 2023 · Control person joined · fact
  • Allen Douglas Paul (Director) no longer on Schedule A of Capital Bank And Trust Company (listed 2022-09-28, absent 2023-01-26)
    Jan 26, 2023 · Control person left · inference
  • Capital Bank And Trust Company reported 1 state-registered advisory representatives, down from 66 (2021-07-30 to 2021-09-28)
    Sep 28, 2021 · Advisor headcount change · derived
  • Capital Bank And Trust Company reported 1 offices beyond its principal office, down from 8 (2020-09-28 to 2021-07-30)
    Jul 30, 2021 · Office count change · derived
  • Marie Jane Scofield (Chief Compliance Officer) no longer on Schedule A of Capital Bank And Trust Company (listed 2019-11-20, absent 2020-01-23)
    Jan 23, 2020 · Control person left · inference
  • Moran Jessica Zerges (Chief Compliance Officer) appeared on Schedule A of Capital Bank And Trust Company
    Jan 23, 2020 · Control person joined · fact
  • Capital Bank And Trust Company reported 67 state-registered advisory representatives, up from 0 (2019-01-16 to 2019-09-27)
    Sep 27, 2019 · Advisor headcount change · derived
  • Capital Bank And Trust Company reported RAUM $46.1B, up 37% from $33.7B (2019-01-16 to 2019-09-27)
    Sep 27, 2019 · RAUM change · derived
  • Capital Bank And Trust Company reported 0 state-registered advisory representatives, down from 67 (2017-09-28 to 2018-09-28)
    Sep 28, 2018 · Advisor headcount change · derived
  • Capital Bank And Trust Company filed its initial SEC registration (Form ADV)
    Feb 13, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/capital-groupreportedpublic record, Form ADV, Sep 17, 2026
Website
capitalgroup.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(949) 975-5000reportedpublic record, Form ADV, May 29, 2026
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
Asset manager (funds and pooled vehicles)deriveda 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