{"url":"https://nivawealth.com/firms/capital-bank-and-trust-170017","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170017","regulatoryAum":250977071306,"crd":"170017","secFileNumber":"801-79234","legalName":"Capital Bank and Trust Company","displayName":"Capital Bank and Trust","website":null,"founded":null,"organization":"California other (specify)","fiscalYearEnd":"June","headquarters":{"street":"6455 Irvine Center Drive","city":"Irvine","state":"CA","stateName":"California","country":"United States","postalCode":"92618-4518"},"tradeNames":[],"registration":{"secApproved":"26 February 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":106,"advisory":0,"brokerDealerReps":1,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":250977071306,"discretionaryAccounts":588,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":511,"regulatoryAum":4030045583},{"label":"Pooled investment vehicles","clients":56,"regulatoryAum":246319632414},{"label":"Pension and profit-sharing plans","clients":3,"regulatoryAum":0},{"label":"Charitable organizations","clients":14,"regulatoryAum":627393309},{"label":"State or municipal government entities","clients":1,"regulatoryAum":0},{"label":"Insurance companies","clients":2,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":0}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":4653937992}],"custodyNote":"Capital Bank and Trust has custody of $246.32B for 72 clients.","otherCustodians":[],"leadership":[{"name":"Kristine Nishiyama","title":"Director, Chair, Senior Vice President and General Counsel","crd":"2506668"},{"name":"Kevin Saks","title":"Director and President","crd":"5503869"},{"name":"Matthew Knihtila","title":"Chief Compliance Officer","crd":"4903485"},{"name":"Sarah Berendt","title":"Treasurer and Controller","crd":"5118111"},{"name":"Kevin Burke","title":"Director","crd":"1347663"},{"name":"Michelle Kerrick","title":"Director","crd":"7886902"},{"name":"Janet Lamkin","title":"Director","crd":"6503283"},{"name":"Susi Silverman","title":"Director","crd":"5336044"}],"ownership":[{"label":"The Capital Group Companies, Inc.","detail":"Stockholder in the 75% or more ownership band and a control person, since July 2000."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"6455 Irvine Center Drive","city":"Irvine","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-975-5000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":21},{"label":"Non-exchange-traded equity securities","percent":2},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":69},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":2,"detail":"Real Estate, Rights to Natural Resources, Insurance Contracts, Etc."}],"privateFunds":0},"sources":{"adv1FilingDate":"25 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170017/PDF/170017.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Capital Bank and Trust have?","answer":"Capital Bank and Trust has 588 clients and manages $251 billion for them, as of September 2026. They include 511 high-net-worth individuals, 56 pooled investment vehicles and 14 charitable organizations.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capital Bank and Trust offer?","answer":"Capital Bank and Trust provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Capital Bank and Trust use?","answer":"Capital Bank and Trust’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $4,653,937,992. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capital Bank and Trust have?","answer":"Capital Bank and Trust has 0 investment adviser representatives registered with state securities authorities, out of 106 employees, and 0 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Capital Bank and Trust invest in?","answer":"At the end of its last fiscal year, Capital Bank and Trust’s separately managed accounts held 69% registered funds (mutual funds, ETFs, BDCs), 21% exchange-traded equities, 3% state and local bonds, 3% cash and equivalents, 2% non-exchange-traded equities and 2% real estate, rights to natural resources, insurance contracts, etc.. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Capital Bank and Trust?","answer":"Capital Bank and Trust’s direct owner is the Capital Group Companies, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capital Bank and Trust get paid?","answer":"Capital Bank and Trust is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}