EL CAPITAN ADVISORS
EL CAPITAN ADVISORS, INC. Legal Name
Adviser information for EL CAPITAN ADVISORS last updated from Form ADV on August 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 72 | $1.4B |
| Non-Discretionary | 966 | $6.0B |
| Total | 1,038 | $7.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 104 | $2.3B |
| Banking or thrift institutions | 72 | $1.4B |
| 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 | 862 | $3.7B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Broker-dealer |
Principal Office
1900 STATE STREETSUITE J
SANTA BARBARA
CA
United States
Monday - Friday, 8AM - 5PM
Tel: (833) 463-5227, Fax: None
Websites
Chief Compliance Officer
KATRINA A. SKINNER
CHIEF COMPLIANCE OFFICER
1900 STATE STREET
SUITE J
SANTA BARBARA
CA
United States
Tel:
(833) 463-5227
K******@********************M
(Full email address available in API data)
Regulatory Contact
ANDREW NASH
CEO
1900 STATE STREET, SUITE J
SANTA BARBARA
CA
United States
Tel:
(833) 463-5227
A*****@********************M
(Full email address available in API data)
Industry Affiliates
| JBH FINANCIAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NASH, ANDREW, DANIEL | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2017 | 50-75% |
| SKINNER, KATRINA, A. | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |