Asset manager · Raleigh, NC
CAPTRUST
Capfinancial Partners, LLC · SEC-registered investment adviser · CRD 175112 · SEC 801-62193
At a glance
CAPTRUST is an SEC-registered investment adviser based in Raleigh, North Carolina, with $1.2 trillion in regulatory assets under management as of its Form ADV filed September 30, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 37,852 individual clients. By Form ADV it is a asset manager, ranked 18th of 3,218 asset managers and 20th of 17,210 SEC-registered advisers by assets.
Main office 919-870-6822captrust.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.24T
- Rank among asset managers
- #18 of 3,218
- Rank among all SEC RIAs
- #20 of 17,210
- Rank in North Carolina
- #1 of 288
- Individual clients
- 37,852
- High-net-worth clients
- 18,154
- Accounts
- 146,777
- Discretionary
- 26% of AUM
- Employees
- 1,841
- Advisory staff
- 885
- Offices
- 97
Owners and executives on its Form ADV
- James F. MillerChief Executive Officer
- Wilson S. HoyleManaging Director
- Benjamin S. GoldsteinPresident
- Derick D. ShoffManaging Director
- Scott T. MathesonManaging Director
- Christina Markell-BallezaManaging Director, General Counsel
- Jonathan S. MeyerChief Technology Officer
- Michael J. VogelzangManaging Director, Chief Investment Officer
- Robert A MillerChief Financial Officer
- Edward V. WelchManaging Director
- Ann LeddyChief Compliance Officer
- Karen O. DeniseSenior Director
Custody and brokerage
Custodian
CAPTRUST’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
CAPTRUST is a hybrid RIA: 422 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Capfinancial Securities, LLC..
- Capfinancial Securities, LLC. ↗CRD 126291
Its Form ADV brochure (filed March 2026) names Capfinancial Securities, LLC. as the broker-dealer its advisers are registered with.
retirement plan clients choose to name a CAPTRUST Financial Advisor as “broker of record” (BOR) in the advisor’s separate capacity as a registered representative of CAPTRUST’s affiliated broker-dealer, CapFinancial Securities, LLC (“CFS”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 3,523 | $1.07T | 87% |
| High-net-worth individuals | 18,154 | $89B | 7% |
| State or municipal government entities | 49 | $37B | 3% |
| Charitable organizations | 232 | $25B | 2% |
| Individuals | 19,698 | $6.6B | <1% |
| Corporations or other businesses | 67 | $5.9B | <1% |
| Insurance companies | 10 | $1.4B | <1% |
| Pooled investment vehicles | 17 | $224M | <1% |
Private funds
CAPTRUST reports 17 private funds with $223M in gross assets: private equity funds, real estate funds, other private funds (Form ADV Item 7.B).
Disciplinary disclosures
CAPTRUST reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗captrust.com ↗CAPTRUST news and profile →
AtlasMembers
The full record on CAPTRUST
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 33 peers of its type and size
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- Owners and executives, with titles and stakes
- 15 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 5Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does CAPTRUST manage?
CAPTRUST reports $1.2 trillion in regulatory assets under management across 146,777 accounts, 26% of it on a discretionary basis, on its Form ADV filed September 30, 2026.
What kind of firm is CAPTRUST?
CAPTRUST is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are CAPTRUST’s clients?
By assets, its largest client types are pension and profit sharing plans ($1.1 trillion, 3,523 clients); high-net-worth individuals ($89.4 billion, 18,154 clients); state or municipal government entities ($36.5 billion, 49 clients).
Does CAPTRUST manage private funds?
Yes. It reports 17 private funds with $223 million in gross assets, including private equity funds, real estate funds, other private funds.
Does CAPTRUST have any disciplinary history?
CAPTRUST reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is CAPTRUST’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 (2026-09-30), 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 →