Hedge Fund Database

CAPITAL ADVANTAGE, INC.

Adviser information for CAPITAL ADVANTAGE, INC. last updated from Form ADV on March 27th, 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 California, United States

Employees

Total Number of Employees 13
Investment Advisory/Research 9
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 10
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,120 $1.0B
Non-Discretionary 0 $0
Total 2,120 $1.0B

Clients

Type Number RAUM
Individuals 422 $169.1M
HNW Individuals 290 $813.5M
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 <5 $17.1M
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 <5 $2.4M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 51-100

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)
Compensation % of AUM

Identifiers

SEC RIA File Number 801-55896
SEC ERA File Number 801-55896
SEC CIK Numbers 1628896
SEC CRD Numbers 108985
Legal Entity Identifier None

Principal Office

1855 OLYMPIC BLVD.
STE 300
WALNUT CREEK
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 925-299-1500, Fax: 925-299-1599

Websites

capitaladvantage.com/ twitter.com/capadvantage www.facebook.com/capitaladvantageinc/ www.linkedin.com/company/capital-advantage-inc-/

Chief Compliance Officer

DAWNALIZABETH HENKE
CHIEF OPERATING OFFICER
3470 MT DIABLO BLVD. STE A215
LAFAYETTE
CA
United States
Tel: 925-299-1500
Fax: 925-299-1599
(Full email address available in API data)

Regulatory Contact

COLIN TAYLOR
DIRECTOR OF INVESTMENT MANAGEMENT
3470 MT DIABLO BLVD. STE A215
LAFAYETTE
CA
United States
Tel: 925-299-1500
Fax: 925-299-1599
(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
HAYMAN, JOHN, STERRETT Individual – PRESIDENT 06/1998 < 5%
HENKE, DAWNALIZABETH Individual – OWNER / CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER 08/2008 5-10%
ZINMAN, DONNA, LEWIS Individual – SENIOR FINANCIAL ADVISOR 01/2011 < 5%
TAYLOR, COLIN, FRANCIS Individual – OWNER / DIRECTOR OF INVESTMENT MANAGEMENT 09/2014 10-25%
CASTILLE, IAN, ASHLEY Individual – SENIOR FINANCIAL ADVISOR 06/2019 < 5%
ZINMAN FAMILY TRUST Domestic Entity – OWNER 04/2019 5-10%
CB TRUST Domestic Entity – OWNER 04/2019 50-75%
HAYMAN, JOHN, STERRETT Individual CB TRUST TRUSTEE 04/2019
ZINMAN, DONNA, LEWIS Individual ZINMAN FAMILY TRUST TRUSTEE 04/2019
ZINMAN, MARK, A Individual ZINMAN FAMILY TRUST TRUSTEE 04/2019
LONGMUIR, NICOLA Individual CB TRUST TRUSTEE 04/2019
CASTILLE FAMILY TRUST Domestic Entity – OWNER 06/2019 10-25%
CASTILLE, IAN, ASHLEY Individual CASTILLE FAMILY TRUST TRUSTEE 06/2019
CASTILLE, SARA, LYN DELEE Individual CASTILLE FAMILY TRUST TRUSTEE 06/2019

No. Employees, Historic

20100201920202021202220232024202511 on 5/17/201911 on 5/20/201911 on 5/30/201911 on 5/31/201911 on 5/31/201911 on 10/24/201912 on 3/30/202012 on 4/22/202012 on 6/29/202012 on 12/1/202012 on 3/31/202112 on 3/31/202112 on 4/1/202112 on 4/20/202112 on 7/13/202114 on 7/20/202114 on 7/22/202114 on 7/23/202114 on 8/23/202113 on 3/31/202213 on 6/30/202213 on 7/15/202213 on 11/8/202213 on 1/27/202314 on 3/31/202314 on 4/10/202314 on 10/20/202314 on 12/11/202313 on 3/27/2024

RAUM, Historic

2B1B02019202020212022202320242025705917488 on 5/17/2019705917488 on 5/20/2019705917488 on 5/30/2019705917488 on 5/31/2019705917488 on 5/31/2019705917488 on 10/24/2019683268294 on 3/30/2020683268294 on 4/22/2020683268294 on 6/29/2020824907737 on 12/1/2020891590122 on 3/31/2021891590122 on 3/31/2021891590122 on 4/1/2021891590122 on 4/20/2021891590122 on 7/13/2021891590122 on 7/20/2021891590122 on 7/22/2021891590122 on 7/23/2021891590122 on 8/23/2021981065395 on 3/31/2022981065395 on 6/30/2022981065395 on 7/15/2022981065395 on 11/8/2022981065395 on 1/27/2023905171206 on 3/31/2023905171206 on 4/10/2023905171206 on 10/20/2023905171206 on 12/11/20231002166936 on 3/27/2024

No. Clients, Historic

80040002019202020212022202320242025582 on 5/17/2019582 on 5/20/2019582 on 5/30/2019582 on 5/31/2019582 on 5/31/2019582 on 10/24/2019595 on 3/30/2020595 on 4/22/2020595 on 6/29/2020603 on 12/1/2020614 on 3/31/2021614 on 3/31/2021614 on 4/1/2021614 on 4/20/2021614 on 7/13/2021614 on 7/20/2021614 on 7/22/2021614 on 7/23/2021614 on 8/23/2021614 on 3/31/2022614 on 6/30/2022614 on 7/15/2022614 on 11/8/2022614 on 1/27/2023630 on 3/31/2023630 on 4/10/2023630 on 10/20/2023630 on 12/11/2023712 on 3/27/2024

Holdings

From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Advanced Micro Devices Equities 5M 28K –
Amazon.com Inc Equities 2M 13K –
Apple Inc Equities 13M 57K –
AT&T Inc Equities 366K 19K –
Berkshire Hathaway Inc B Equities 4M 10K –
BlackRock Ultra Short Term Bond ETF ETF 47M 930K –
Calavo Growers Inc Equities 347K 16K –
Chevron Corp Equities 2M 11K –
Cisco Systems Inc Equities 805K 17K –
Consumer Staples SPDR ETF ETF 4M 52K –
Extreme Networks Inc Equities 3M 213K –
Exxon Mobil Corp Equities 2M 17K –
First Trust SMID Cp Rising Div Achv ETF ETF 755K 23K –
Global X US Infrastructure Dev ETF ETF 3M 84K –
Intel Corp Equities 577K 17K –
iShares Core S&P Small Cap ETF ETF 15M 137K –
iShares MSCI EAFE Index ETF 5M 57K –
iShares MSCI USA Quality Factor ETF ETF 3M 16K –
iShares S&P 500 Growth ETF 3M 31K –
Lumentum Holdings Inc Equities 1M 21K –
Microsoft Corp Equities 7M 16K –
NVIDIA Corp Equities 2M 19K –
Pfizer Inc Equities 615K 22K –
Schwab Fundamental Intl Large Co ETF ETF 48M 1M –
Schwab Fundamental US Small Co ETF ETF 2M 29K –
Schwab International Equity ETF ETF 6M 161K –
Schwab US Dividend Equity ETF ETF 21M 266K –
Schwab US Large Cap ETF ETF 2M 29K –
Schwab US Mid Cap ETF ETF 6M 72K –
Schwab US Small Cap ETF ETF 516K 11K –
SPDR Portfolio S&P 500 ETF ETF 8M 119K –
Upstart Holdings Inc Equities 331K 14K –
Vanguard Dividend Appreciation ETF ETF 22M 118K –
Vanguard ESG International Stock ETF ETF 586K 10K –
Vanguard Health Care ETF ETF 24M 92K –
Vanguard High Dividend Yield ETF ETF 2M 18K –
Vanguard Industrials ETF ETF 13M 54K –
Vanguard Intermediate Term Corporate ETF ETF 65M 808K –
Vanguard International Dividend ETF ETF 34M 415K –
Vanguard Intl High Dividend ETF ETF 29M 414K –
Vanguard Mega Cap Blend ETF ETF 16M 81K –
Vanguard Mega Cap Value ETF ETF 24M 199K –
Vanguard Mid Cap ETF 4M 18K –
Vanguard Mid Cap Value ETF ETF 13M 89K –
Vanguard Small Cap ETF ETF 4M 21K –
Vanguard Small Cap Value Index ETF ETF 15M 82K –
Verizon Communications Inc Equities 590K 14K –
Workday Inc Equities 4M 18K –