CAPITAL BANK AND TRUST COMPANY
Latest filing: Sep 27, 2024 (33 days ago)
AUM
$75,863,757,861
121% change vs. 1 year ago
63% change vs. 3 years ago
125% change vs. 5 years ago
528% change vs. 10 years ago
Employee Count
151
-17% change vs. 1 year ago
-50% change vs. 3 years ago
-47% change vs. 5 years ago
-17% change vs. 10 years ago
Main Office
IRVINE, CA
6455 IRVINE CENTER DRIVE, IRVINE, CA, UNITED STATES, 92618-4518
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $75.9 |
| Non-Discretionary | $0.0 |
| Total | $75.9 |
| Client | AUM |
|---|---|
| Retail | $2.7 |
| Pooled | $65.6 |
| Institutional | $7.5 |
| Total | $75.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 464 | $2.7 |
| Average HNW AUM | $5,902,328 | |
| Retail Total | 464 | $2.7 |
| Average Retail AUM | $5,902,328 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| WELLS FARGO BANK, NATIONAL ASSOCIATION | SIOUX FALLS-SD-USA | $5.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $10.3 |
| Retail SMA AUM | $2.7 |
| Institutional SMA AUM | $7.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 7% | $0.7 |
| Equity Non-Exch | 2% | $0.2 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 34% | $3.5 |
| Other Pools | 51% | $5.2 |
| Cash | 6% | $0.6 |
| Other | 0% | $0.0 |
| Total | 100% | $10.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | $3,315.4 | 110885 | |
| CAPITAL INTERNATIONAL, INC. | $46.8 | 110682 | |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | $38.3 | 312837 | |
| CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD. | $0.0 | - | |
| CAPITAL INTERNATIONAL LIMITED | $0.0 | - | |
| CAPITAL RESEARCH COMPANY | $0.0 | 110684 | |
| CAPITAL GROUP ALTERNATIVE STRATEGIES, LLC | $0.0 | - | |
| AMERICAN FUNDS DISTRIBUTORS, INC. | $0.0 | broker-dealer | 6247 |
| CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED | $0.0 | - | |
| CAPITAL INTERNATIONAL SARL | $0.0 | 162640 | |
| CAPITAL GUARDIAN (CANADA), INC. | $0.0 | 110681 | |
| CAPITAL INTERNATIONAL MANAGEMENT COMPANY SÁRL | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
9 active
| Name | Title |
|---|---|
| SPINELLA, CARMELO | DIRECTOR |
| NISHIYAMA, KRISTINE, MIE | DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL |
| SILVERMAN, SUSI, MICHELE | TREASURER & CONTROLLER |
| BURKE, KEVIN, THOMAS | DIRECTOR |
| LAMKIN, JANET, WESLEY | DIRECTOR |
| SAKS, KEVIN, MICHAEL | DIRECTOR AND PRESIDENT |
| POON, HERBERT, YUNGTAI | CHIEF COMPLIANCE OFFICER |
| KERRICK, MICHELLE, C. | DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $75.9 | $0.0 | 0% | 151 | 0 | 0% |
| 2024-04-02 | $45.4 | $30.4 | 67% | 187 | -36 | -19% |
| 2023-04-04 | $34.3 | $41.5 | 121% | 183 | -32 | -17% |
| 2022-04-01 | $38.2 | $37.6 | 98% | 146 | 5 | 3% |
| 2021-04-05 | $46.7 | $29.2 | 63% | 304 | -153 | -50% |
| 2020-04-01 | $46.1 | $29.8 | 65% | 299 | -148 | -49% |
| 2019-04-01 | $33.7 | $42.1 | 125% | 286 | -135 | -47% |
| 2018-04-02 | $32.4 | $43.5 | 134% | 311 | -160 | -51% |
| 2017-04-01 | $30.1 | $45.8 | 152% | 349 | -198 | -57% |
| 2016-04-01 | $11.2 | $64.7 | 578% | 216 | -65 | -30% |
| 2015-04-01 | $12.3 | $63.5 | 516% | 182 | -31 | -17% |
| 2014-04-01 | $12.1 | $63.8 | 528% | 183 | -32 | -17% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| CA, AK-01/14/2016, AL-01/14/2016, AR-01/14/2016, AZ-01/14/2016, CA-01/14/2016, CO-01/14/2016, CT-01/14/2016, DC-01/14/2016, DE-01/14/2016, FL-01/14/2016, GA-01/14/2016, HI-01/14/2016, IA-01/14/2016, ID-01/14/2016, IL-01/19/2016, IN-01/14/2016, KS-01/14/2016, KY-01/14/2016, LA-01/14/2016, MA-01/14/2016, MD-01/14/2016, ME-01/14/2016, MI-01/14/2016, MN-01/14/2016, MO-01/14/2016, MS-01/14/2016, MT-01/14/2016, NC-01/14/2016, ND-01/14/2016, NE-01/14/2016, NH-01/14/2016, NJ-01/22/2016, NM-01/14/2016, NV-01/14/2016, NY-01/14/2016, OH-01/14/2016, OK-01/14/2016, OR-01/14/2016, PA-01/14/2016, RI-01/14/2016, SC-01/14/2016, SD-01/14/2016, TN-01/14/2016, TX-01/14/2016, UT-01/14/2016, VA-01/14/2016, VT-01/14/2016, WA-01/14/2016, WI-01/14/2016, WV-01/14/2016, WY-01/16/2019 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR BANK TRUST COMPANY |
ADVDB.CO • SOURCE: SEC FORM ADV