CAPITAL BANK AND TRUST COMPANY
Adviser information for CAPITAL BANK AND TRUST COMPANY last updated from Form ADV on March 11th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 187 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| 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 | 64 | $45.4B |
| Non-Discretionary | 0 | $0 |
| Total | 64 | $45.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 41 | $39.6B |
| Pension and profit sharing plans | <5 | $5.9B |
| Charitable organizations | 18 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $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 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisorBankTrust company |
Identifiers
| SEC RIA File Number | 801-79234 |
|---|---|
| SEC ERA File Number | 801-79234 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 170017 |
| Legal Entity Identifier | None |
Principal Office
6455 IRVINE CENTER DRIVEIRVINE
CA
United States
Monday - Friday, 8:00A.M - 5:00 P.M.
Tel: (949) 975-5000, Fax: None
Chief Compliance Officer
HERBERT Y. POON
333 SOUTH HOPE STREET
55TH FLOOR
LOS ANGELES
CA
United States
Tel:
213-615-0432
H**@***********M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FUNDS DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CAPITAL GROUP ALTERNATIVE STRATEGIES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD. | Other investment adviser, including financial planners |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL GUARDIAN (CANADA), INC. | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL MANAGEMENT COMPANY S�RL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL S�RL | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CAPITAL RESEARCH COMPANY | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE CAPITAL GROUP COMPANIES, INC. | Domestic Entity | – | STOCKHOLDER | 07/2000 | > 75% |
| SPINELLA, CARMELO | Individual | – | DIRECTOR | 07/2009 | < 5% |
| NISHIYAMA, KRISTINE, MIE | Individual | – | DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL | 03/2013 | < 5% |
| SILVERMAN, SUSI, MICHELE | Individual | – | TREASURER & CONTROLLER | 05/2009 | < 5% |
| BURKE, KEVIN, THOMAS | Individual | – | DIRECTOR | 01/2016 | < 5% |
| LAMKIN, JANET, WESLEY | Individual | – | DIRECTOR | 09/2021 | < 5% |
| SAKS, KEVIN, MICHAEL | Individual | – | DIRECTOR AND PRESIDENT | 02/2023 | < 5% |
| Poon, Herbert, Yungtai | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |
| KERRICK, MICHELLE, C. | Individual | – | DIRECTOR | 01/2024 | < 5% |