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

El Capitan Advisors

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 290340SEC 801-121377websiteIAPD
Legal name El Capitan Advisors, Inc.
Latest filing Aug 30, 2023
First filing on the tape Nov 15, 2017 · 13 filings
SEC status approved since Jun 2, 2021
RAUM
$7.4B
reported, Item 5.F
Discretionary
19%
of RAUM
Private clients
31%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$7.4B as of Mar 31, 2023
Mar 29, 2022$3.6B then
HNW client RAUM: $2.3B
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 31, 20182 then
Employees (5.A)13 as of Mar 31, 2023
Mar 31, 20183 then
Private funds: 1
RAUM +106% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 30, 2023; every figure names its basis
RAUM per advisor
$7.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$21.9MderivedHNW RAUM over HNW clients
Average account
$7.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
19%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+106%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 institutionsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$1.4B, 72 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 broker-dealer (6.A.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$3.7B50%
  • High-net-worth individuals$2.3B31%
  • Banks and thrifts$1.4B19%
Individual clients
n/areported
HNW clients
104reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,038reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 72 clientsreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
El Capitan Short-Term Liquid Fund Ino longer reportedLiquidity Fund$00Mar 31, 2018
Owners and control persons
Schedule A and B, latest filing
  • Daniel Andrew Nash · Chief Executive Officercontrol
    since 10/2017 · owns 50% to 75%
  • A. Katrina Skinner · Chief Compliance Officercontrol
    since 04/2023 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Employees · 13 to 9
    Mar 31, 2023 to Aug 30, 2023
  • Related broker-dealer · false to true
    Mar 31, 2023 to Aug 30, 2023
  • Accounts · 701 to 1,038
    Mar 29, 2022 to Mar 31, 2023
  • Corporate clients · 650 to 862
    Mar 29, 2022 to Mar 31, 2023
  • HNW clients · unset to 104.0
    Mar 29, 2022 to Mar 31, 2023
  • Assets in custody · $897M to $1.4B
    Mar 29, 2022 to Mar 31, 2023
  • Employees · 4 to 13
    Mar 29, 2022 to Mar 31, 2023
  • Financial planning clients · 51-100 to More than 500
    Mar 29, 2022 to Mar 31, 2023
  • Discretionary RAUM · $2.7B to $1.4B
    Mar 29, 2022 to Mar 31, 2023
  • HNW RAUM · unset to 2275442327.0
    Mar 29, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $897M to $6.0B
    Mar 29, 2022 to Mar 31, 2023
  • RAUM · $3.6B to $7.4B
    Mar 29, 2022 to Mar 31, 2023
  • Accounts · 73 to 701
    Jul 16, 2021 to Mar 29, 2022
  • Corporate clients · 72 to 650
    Jul 16, 2021 to Mar 29, 2022
  • Assets in custody · $305M to $897M
    Jul 16, 2021 to Mar 29, 2022
  • Employees · 1 to 4
    Jul 16, 2021 to Mar 29, 2022
  • Financial planning clients · 1-10 to 51-100
    Jul 16, 2021 to Mar 29, 2022
  • Discretionary RAUM · $1.0B to $2.7B
    Jul 16, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $305M to $897M
    Jul 16, 2021 to Mar 29, 2022
  • RAUM · $1.3B to $3.6B
    Jul 16, 2021 to Mar 29, 2022
  • Accounts · 55 to 73
    May 3, 2021 to Jul 16, 2021
  • Corporate clients · 55 to 72
    May 3, 2021 to Jul 16, 2021
  • Assets in custody · $152M to $305M
    May 3, 2021 to Jul 16, 2021
  • Discretionary RAUM · $0 to $1.0B
    May 3, 2021 to Jul 16, 2021
  • Non-discretionary RAUM · $152M to $305M
    May 3, 2021 to Jul 16, 2021
  • RAUM · $152M to $1.3B
    May 3, 2021 to Jul 16, 2021
  • Accounts · unset to 55.0
    Jun 28, 2018 to May 3, 2021
  • Advisory employees · 2 to 1
    Jun 28, 2018 to May 3, 2021
  • Advisory activities · 4 to 3
    Jun 28, 2018 to May 3, 2021
  • Business name · EL CAPITAN ADVISORS, LLC to EL CAPITAN ADVISORS
    Jun 28, 2018 to May 3, 2021
  • Corporate clients · unset to 55.0
    Jun 28, 2018 to May 3, 2021
  • Assets in custody · $0 to $152M
    Jun 28, 2018 to May 3, 2021
  • Employees · 4 to 1
    Jun 28, 2018 to May 3, 2021
  • Financial planning clients · 0 to 1-10
    Jun 28, 2018 to May 3, 2021
  • State-registered IARs · 2 to 1
    Jun 28, 2018 to May 3, 2021
  • Legal name · EL CAPITAN ADVISORS, LLC to EL CAPITAN ADVISORS, INC.
    Jun 28, 2018 to May 3, 2021
  • Other offices · 1 to 0
    Jun 28, 2018 to May 3, 2021
  • Organization form · Limited Liability Company to Corporation
    Jun 28, 2018 to May 3, 2021
  • Private funds · 1 to unset
    Jun 28, 2018 to May 3, 2021
  • Discretionary RAUM · unset to 0.0
    Jun 28, 2018 to May 3, 2021
Signals
6 dated events
  • El Capitan Advisors no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $7.4B)
    Aug 1, 2025 · Left the SEC roster · derived
  • A. Katrina Skinner (Chief Compliance Officer) appeared on Schedule A of El Capitan Advisors
    Aug 30, 2023 · Control person joined · fact
  • El Capitan Advisors reported RAUM $7.4B, up 106% from $3.6B (2022-03-29 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • El Capitan Advisors reported RAUM $3.6B, up 176% from $1.3B (2021-07-16 to 2022-03-29)
    Mar 29, 2022 · RAUM change · derived
  • El Capitan Advisors reported RAUM $1.3B, up 759% from $152.0M (2021-05-03 to 2021-07-16)
    Jul 16, 2021 · RAUM change · derived
  • El Capitan Advisors, Llc filed its initial SEC registration (Form ADV)
    Nov 15, 2017 · 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.
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