Wealth manager, independent · Fort Washington, PA
Capital Analysts
Capital Analysts, LLC · SEC-registered investment adviser · CRD 162200 · SEC 801-74614
At a glance
Capital Analysts is an SEC-registered investment adviser based in Fort Washington, Pennsylvania, with $8.8 billion in regulatory assets under management as of its Form ADV filed July 20, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 15,611 individual clients. By Form ADV it is a wealth manager, ranked 193rd of 8,915 wealth managers and 1,490th of 17,210 SEC-registered advisers by assets.
Main office 800-242-1421capitalanalysts.comAs filed on Form ADV
- Regulatory AUM
- $8.8B
- Rank among wealth managers
- #193 of 8,915
- Rank among all SEC RIAs
- #1,490 of 17,210
- Rank in Pennsylvania
- #50 of 564
- Individual clients
- 15,611
- High-net-worth clients
- 3,042
- Accounts
- 23,420
- Discretionary
- 98% of AUM
- Employees
- 679
- Advisory staff
- 667
- Offices
- 255
Owners and executives on its Form ADV
- Diane Mulherrin McCarthyElected Manager, Executive Vice President and Chief Financial Officer (treasurer)
- Maureen Ann MattsonExecutive Vice-President, General Counsel & Chief Compliance Officer
- Susan Mary OberliesSenior Vice-President, Deputy General Counsel, Corporate Secretary and Head of Risk
- Anthony Charles BuetiExecutive Vice-President, Chief Operating Officer
- Karen Dougherty BuraVice President, Controller
- Edward Samuel Jr ForstElected Manager
- Kathleen Kinslow LeckeyCEO
- Shashi MehrotraSenior Vice-President, Chief Investment Officer
- Daniel Sean AlexanderExecutive Vice-President, Chief Business Development Officer
- Jason Christopher EstesExecutive Vice-President, Chief Information & Technology Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Capital Analysts is a hybrid RIA: 660 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Lincoln Investment Planning, LLC.
Its Form ADV brochure (filed July 2026) names Lincoln Investment as the broker-dealer its advisers are registered with.
The majority of Capital Analysts advisors are also registered representatives of Lincoln Investment.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 3,042 | $4.6B | 53% |
| Individuals | 12,569 | $3.8B | 44% |
| Corporations or other businesses | 119 | $208M | 2% |
| Pension and profit sharing plans | 87 | $100M | 1% |
| Charitable organizations | 23 | $29M | <1% |
Disciplinary disclosures
Capital Analysts answers yes to 6 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗capitalanalysts.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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- Rank against 464 peers of its type and size
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- 10 namedLocked
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Background
Questions
How much does Capital Analysts manage?
Capital Analysts reports $8.8 billion in regulatory assets under management across 23,420 accounts, 98% of it on a discretionary basis, on its Form ADV filed July 20, 2026.
What kind of firm is Capital Analysts?
Capital Analysts is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Capital Analysts’s clients?
By assets, its largest client types are high-net-worth individuals ($4.6 billion, 3,042 clients); individuals ($3.8 billion, 12,569 clients); corporations or other businesses ($208 million, 119 clients).
Does Capital Analysts have any disciplinary history?
Capital Analysts answers yes to 6 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Capital Analysts’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-20), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →