CAPITAL ADVISORS, LTD., LLC
Latest filing: Oct 28, 2024 (173 days ago)
AUM
$1,129,477,969
0% change vs. 1 year ago
5% change vs. 3 years ago
47% change vs. 5 years ago
134% change vs. 10 years ago
Employee Count
14
0% change vs. 1 year ago
8% change vs. 3 years ago
8% change vs. 5 years ago
17% change vs. 10 years ago
Main Office
SHAKER HEIGHTS, OH
20600 CHAGRIN BLVD SUITE 1115, SHAKER HEIGHTS, OH, UNITED STATES, 44122
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.1 |
| Non-Discretionary | $0.0 |
| Total | $1.1 |
| Client | AUM |
|---|---|
| Retail | $1.1 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $1.1 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 476 | $0.1 |
| Average Individual AUM | $178,928 | |
| HNW | 485 | $1.0 |
| Average HNW AUM | $2,065,062 | |
| Retail Total | 961 | $1.1 |
| Average Retail AUM | $1,130,827 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| PERSHING LLC | JERSEY CITY-NJ-USA | $0.7 |
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.1 |
| Retail SMA AUM | $1.1 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 12% | $0.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 6% | $0.1 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 51% | $0.6 |
| Other Pools | 27% | $0.3 |
| Cash | 1% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $1.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
3 active
| Name | Title |
|---|---|
| CIULLA, MARK, ANTHONY | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, AND CO-MANAGING MEMBER |
| WAXMAN, NEIL, RAY | MANAGING DIRECTOR, AND CO-MANAGING MEMBER |
| HANRATTY, PATRICK, T (MI ONLY) | MANAGING DIRECTOR, AND ELECTED CO-MANAGING MEMBER |
ADVDB.CO • SOURCE: SEC
Representatives
2 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARY KOZAR | SHAKER HEIGHTS | OH | CERTIFIED FINANCIAL PLANNER | ||||||
| MELISSA COSTELLO | SHAKER HEIGHTS | OH | CERTIFIED FINANCIAL PLANNER | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $1.1 | $0.0 | 0% | 14 | 0 | 0% |
| 2024-04-02 | $1.1 | $0.0 | 0% | 14 | 0 | 0% |
| 2023-04-04 | $1.0 | $0.2 | 18% | 13 | 1 | 8% |
| 2022-04-01 | $1.1 | $0.1 | 5% | 13 | 1 | 8% |
| 2021-04-05 | $0.9 | $0.3 | 32% | 12 | 2 | 17% |
| 2020-04-01 | $0.8 | $0.4 | 47% | 13 | 1 | 8% |
| 2019-04-01 | $0.7 | $0.4 | 61% | 13 | 1 | 8% |
| 2018-04-02 | $0.7 | $0.4 | 60% | 13 | 1 | 8% |
| 2017-04-01 | $0.6 | $0.5 | 90% | 12 | 2 | 17% |
| 2016-04-01 | $0.5 | $0.7 | 148% | 12 | 2 | 17% |
| 2015-04-01 | $0.5 | $0.6 | 134% | 12 | 2 | 17% |
| 2014-04-01 | $0.4 | $0.7 | 157% | 12 | 2 | 17% |
| 2013-04-01 | $0.4 | $0.8 | 201% | 12 | 2 | 17% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| OH, AZ-03/13/2013, CA-06/10/2010, FL-06/10/2010, GA-11/22/2022, IL-10/20/2015, LA-10/28/2024, NC-10/22/2021, NM-11/22/2022, OH-06/10/2010, SC-10/21/2020, TX-06/10/2010 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV