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Derick Shoff

Managing Director at Capfinancial Partners

Investment adviser registrationDoylestown, PASEC record checked 17 October 2026

39
Years in the industry
11
Years at the firm
3
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Derick Shoff is Managing Director of Capfinancial Partners, LLC, a Raleigh investment adviser managing $1.24T. Derick Shoff has been registered through Capfinancial Partners since 9 April 2015, has 39 years in the industry across 3 firms and has passed 6 licensing exams.

Role at Capfinancial Partners

Title on Schedule A
Managing Director
Control
Derick Shoff is not a control person of Capfinancial Partners.
Ownership
An individual ownership band is not available in the source record.
Tenure
Derick Shoff has held the filed role since December 2009.

The firm

Capfinancial Partners, LLC
Raleigh, NC

Form ADV filed 30 September 2026

$1.24T AUM41,750 clients885 advisers26 offices

Career on record

Derick Shoff has been registered through Capfinancial Partners since April 2015, and before that through Plan Advisory Services, Inc..

Firms and exams, newest first
  1. Passed SIE · 2018
  2. CaptrustCurrent
    – present · 12 years
    Doylestown, PA · Adviser representative · Firm CRD 175112
  3. Captrust Financial Advisors Or "captrust"
    – · 8 years
    Doylestown, PA · Adviser representative · Firm CRD 126291
  4. Plan Advisory Services, Inc.
    – · 10 years
    Doylestown, PA · Adviser representative · Firm CRD 120974
  5. Passed Series 24 · 1995
  6. Passed Series 65 · 1993
  7. Passed Series 63 · 1986
  8. Passed Series 7 · 1984
  9. Passed Series 6 · 1983

Registrations and exams

Derick Shoff has a current investment-adviser registration in North Carolina and Pennsylvania and has passed 6 qualifying exams.

North Carolina15 April 2015
Scope
Investment adviser representative
Status
Approved
Pennsylvania9 April 2015
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6512 March 1993
Name
Uniform Investment Adviser Law Examination
Series 633 October 1986
Name
Uniform Securities Agent State Law Examination
Series 2417 April 1995
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 718 February 1984
Name
General Securities Representative Examination
Series 622 June 1983
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Derick Don Shoff
CRD
1140640
Firm
Capfinancial Partners, LLC
Registration status
Investment adviser registration
Office
2003 South Easton Road, Suite 308, Doylestown, PA 18901

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Derick Shoff work?

Derick Shoff has been Managing Director of Capfinancial Partners, LLC since December 2009.

Source: Form ADV, Schedule A, filed 30 September 2026

Is Derick Shoff a financial advisor?

Yes. Derick Shoff has a current investment-adviser registration in North Carolina and Pennsylvania, through Capfinancial Partners since April 2015, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Derick Shoff have?

Derick Shoff has worked in the financial industry for 39 years as of 17 October 2026, counted from 10 April 1987, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Derick Shoff passed?

Derick Shoff has passed 6 licensing exams: the Series 6, Series 7, Series 63, Series 65, Series 24 and SIE. The earliest, the Series 6, was passed in June 1983.

Source: IAPD individual record, checked 17 October 2026

Where did Derick Shoff work before Capfinancial Partners?

Before Capfinancial Partners, Derick Shoff was registered through Plan Advisory Services, Inc., February 1997 to December 2006.

Source: IAPD individual record, checked 17 October 2026

Where is Derick Shoff based?

Derick Shoff’s registered office is in Doylestown, PA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Capfinancial Partners

  • James Miller
    Chief Executive Officer
  • Benjamin Goldstein
    President
  • Robert Miller
    Chief Financial Officer
  • Ann Leddy
    Chief Compliance Officer
  • Karen Denise
    Senior Director
  • Wilson Hoyle
    Managing Director
  • Christina Markell-Balleza
    Managing Director, General Counsel
  • Scott Matheson
    Managing Director
  • Jonathan Meyer
    Chief Technology Officer
  • Andrew Raggio
    Senior Director, Head of Trading
  • Katelyn Sampson
    Chief Human Resources Officer
  • Michael Vogelzang
    Managing Director, Chief Investment Officer
  • Edward Welch
    Managing Director
  • Michael Wunderli
    Managing Director

Sources

  1. IAPD individual record, CRD 1140640. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Capfinancial Partners, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Derick Shoff or Capfinancial Partners, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.