CAPITA FINANCIAL NETWORK, LLC
Adviser information for CAPITA FINANCIAL NETWORK, LLC last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Utah, United States |
Employees
| Total Number of Employees | 40 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 18 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,976 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 4,976 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,917 | $784.8M |
| HNW Individuals | 338 | $676.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112411 |
|---|---|
| SEC ERA File Number | 801-112411 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290558 |
| Legal Entity Identifier | None |
Principal Office
9980 SOUTH 300 WESTSTE 140
SANDY
UT
United States
Monday - Friday, 9:00 AM - 5 PM
Tel: 801-566-5058, Fax: 801-208-1113
Chief Compliance Officer
SCOTT ALFRED WATKO
9980 SOUTH 300 WEST
STE. 140
SANDY
UT
United States
Tel:
801-566-5058
Fax:
801-208-1113
S****@*************M
(Full email address available in API data)
Regulatory Contact
MICHAEL BOOTH LITTLEDIKE
MANAGER AND CHIEF EXECUTIVE OFFICER
9980 SOUTH 300 WEST
STE. 140
SANDY
UT
United States
Tel:
801-566-5058
Fax:
801-208-1113
M***@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAPITA HOLDINGS, LLC | Domestic Entity | – | MEMBER | 10/2017 | > 75% |
| MBL FINANCIAL LLC | Domestic Entity | CAPITA HOLDINGS, LLC | MEMBER | 10/2017 | > 75% |
| LITTLEDIKE, MICHAEL, BOOTH | Individual | MBL FINANCIAL LLC | MANAGING MEMBER | 09/2006 | 50-75% |
| LITTLEDIKE, BRITNEY | Individual | MBL FINANCIAL LLC | MANAGING MEMBER | 09/2006 | 50-75% |
| LITTLEDIKE, MICHAEL, BOOTH | Individual | – | ELECTED MANAGER AND CHIEF EXECUTIVE OFFICER | 10/2017 | < 5% |
| CALL, ZACCARY, SPENCER | Individual | – | PRESIDENT AND SECRETARY | 10/2017 | < 5% |
| LITTLEDIKE, MICHAEL, BOOTH | Individual | CAPITA HOLDINGS, LLC | ELECTED MANAGER | 10/2017 | |
| WATKO, SCOTT, ALFRED | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| MYERS, CASSANDRA, COSSLETT | Individual | – | CHIEF OPERATIONS OFFICER | 10/2017 | < 5% |