CAPITAL ADVISORS, INC.
Adviser information for CAPITAL ADVISORS, INC. last updated from Form ADV on March 4th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 59 |
|---|---|
| Investment Advisory/Research | 38 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 38 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6,500 | $5.0B |
| Non-Discretionary | 18 | $462.0M |
| Total | 6,518 | $5.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,547 | $1.4B |
| HNW Individuals | 1,270 | $3.5B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $112.4M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 11 | $46.8M |
| Charitable organizations | 15 | $370.4M |
| 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 | 19 | $122.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 25.7M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED ACCOUNTS CONSULTING | UBS FINANCIAL SERVICES INC. |
| MORGAN STANLEY WRAP FEE PROGRAM | MORGAN STANLEY |
Identifiers
| SEC RIA File Number | 801-14050 |
|---|---|
| SEC ERA File Number | 801-14050 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 104643 |
| Legal Entity Identifier | None |
Principal Office
2222 SOUTH UTICA PLACESUITE 300
TULSA
OK
United States
Monday - Friday, 8:00 AM - 4:30PM M - TH / 8:00AM - 3:15PM F
Tel: (918) 599-0045, Fax: (918) 584-8866
Chief Compliance Officer
DEBRA L. KONIECZNY
CHIEF COMPLIANCE OFFICER
1000 W. WILSHIRE BOULEVARD
SUITE 362
OKLAHOMA CITY
OK
United States
Tel:
(405) 446-8319
Fax:
(918) 584-8866
D*****@*************M
(Full email address available in API data)
Regulatory Contact
JAMIE WILSON
CHIEF OPERATING OFFICER AND DIRECTOR
2222 SOUTH UTICA PLACE
SUITE 300
TULSA
OK
United States
Tel:
(918) 599-0045
Fax:
(918) 584-8866
J******@*************M
(Full email address available in API data)
Industry Affiliates
| SEAN HENNESSEE | Lawyer or law firm |
| WILLIAM JACOB FREUDENRICH | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROWN, GEORGE, ANDERSON | Individual | – | PRESIDENT | 12/2002 | 10-25% |
| WILSON, JAMIE, LYNN | Individual | – | CHIEF OPERATING OFFICER, MANAGING DIRECTOR, AND SECRETARY OF THE BOARD | 06/2020 | < 5% |
| KEITH C. GODDARD REVOCABLE TRUST DATED 10/19/2004 | Domestic Entity | – | SHAREHOLDER | 11/2006 | 25-50% |
| GODDARD, KEITH, CHARLES | Individual | GODDARD, KEITH, CHARLES | TRUSTEE | 10/2004 | 50-75% |
| GODDARD, KEITH, CHARLES | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | 12/2002 | < 5% |
| KONIECZNY, DEBRA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2012 | < 5% |
| MONTGOMERY, JESSICA, LAYNE | Individual | – | CHIEF FINANCIAL OFFICER | 01/2020 | < 5% |