CAPITAL BANK AND TRUST COMPANY
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CAPITAL BANK AND TRUST COMPANY
(CRD# 170017)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Irvine, CA.
The SEC approved the firm to operate as an RIA in
Feb 2014.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$33.7 Billion,
with discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
24%
of RAUM.
Non-US investors represent
3%
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CAPITAL BANK AND TRUST COMPANY
also reported in
Jan 2019
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286
employees,
with
47
performing advisory functions.
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A total of 7 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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CAPITAL BANK AND TRUST COMPANY has no disclosure events reported to the SEC at this time.
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CAPITAL BANK AND TRUST COMPANY has Notice Filings with the following State Securities Authorities: AK-Jan 2016, AL-Jan 2016, AR-Jan 2016, AZ-Jan 2016, CA-Jan 2016
, CO-Jan 2016, CT-Jan 2016, DC-Jan 2016, DE-Jan 2016, FL-Jan 2016
, GA-Jan 2016, HI-Jan 2016, IA-Jan 2016, ID-Jan 2016, IL-Jan 2016
, IN-Jan 2016, KS-Jan 2016, KY-Jan 2016, LA-Jan 2016, MA-Jan 2016
, MD-Jan 2016, ME-Jan 2016, MI-Jan 2016, MN-Jan 2016, MO-Jan 2016
, MS-Jan 2016, MT-Jan 2016, NC-Jan 2016, ND-Jan 2016, NE-Jan 2016
, NH-Jan 2016, NJ-Jan 2016, NM-Jan 2016, NV-Jan 2016, NY-Jan 2016
, OH-Jan 2016, OK-Jan 2016, OR-Jan 2016, PA-Jan 2016, RI-Jan 2016
, SC-Jan 2016, SD-Jan 2016, TN-Jan 2016, TX-Jan 2016, UT-Jan 2016
, VA-Jan 2016, VT-Jan 2016, WA-Jan 2016, WI-Jan 2016, WV-Jan 2016
, WY-Jan 2019
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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