Capital Bank And Trust Company

RIASEC RegisteredEst. 2014

Total AUM

$139B

Discretionary

$139B

100% of AUM

Avg account

$241M

Accounts

579

Employees

121

Advisory reps

Firm details

Headquarters: Irvine, California
CRD number: 170017
Registered since: February 26, 2014
Website: www.capitalbank.com
Custodians: WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, THE BANK OF NEW YORK MELLON
Fee structure: Percentage of AUM
Client types: Pooled Investment Vehicles97.17%
HNWI2.42%
Charitable Organizations0.41%
Services: Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Capital Bank And Trust Company operates as a hybrid bank/trust business that is also registered as an institutional RIA. Registered with the SEC in 2014, the firm combines trust and custody services with advisory capabilities, providing portfolio management for pooled investment vehicles as well as for businesses and institutions. It reports a client base composed of both individuals and families and institutional clients, and it charges fees on a percentage-of-AUM basis. The firm’s stated business activities extend beyond typical RIA functions: it lists roles as a bank, trust company, and as a CPO/CTA, and it is affiliated with broker-dealer, insurance company, and sponsor/GP roles. Capital Bank And Trust Company is identified as an active ESG investor and is noted as a related adviser to other entities in its corporate family.