Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Advantage Capital
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
ADVANTAGE CAPITAL EMPLOYEE STOCK OWNERSHIP PLAN AND TRUSTDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
75%+
ADVANTAGE CAPITAL MANAGEMENT CORPORATIONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
75%+
ADVANTAGE CAPTIAL MANAGEMENT CORPORATIONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
75%+
ADVANTAGE CAPTIAL MANAGEMENT CORPORATIONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
75%+
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
25% to < 50%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
Thomas BittingDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
Thomas BittingDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
Thomas BittingDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
10% to < 25%
Thomas BittingDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
5% to < 10%
Thomas BittingDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
5% to < 10%
THEODORE DUBUQUE LOUISDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
5% to < 10%
STEVEN THEODORE STULLDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
MATTHEW SCOTT MURPHYDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
MICHAEL THOMAS JOHNSONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL MANAGEMENT CORPORATIONDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL ETCF GP, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPTIAL SOLAR HOLDINGS 2024, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
AC FED LIHTC MANAGER 1B, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
ADVANTAGE CAPTIAL SOLAR HOLDINGS 2025, LLCDirect owner · Schedule AInterest in ADVANTAGE CAPITAL
< 5%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Advantage Capital.
Reported ownership and control details
Form ADV · Filing date 2026-05-14 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | ADVANTAGE CAPITAL EMPLOYEE STOCK OWNERSHIP PLAN AND TRUSTDIRECT OWNER OF 100% OF THE OUTSTANDING STOCK OF ADVANTAGE CAPITAL MANAGEMENT CORPORATIONDomestic entity | ADVANTAGE CAPITAL | 75% or moreCode E | Yes | DIRECT OWNER OF 100% OF THE OUTSTANDING STOCK OF ADVANTAGE CAPITAL MANAGEMENT CORPORATION12/2009 | Schedule APDF page 95 |
| 2 | STEVEN THEODORE STULLPRESIDENT, CHIEF EXECUTIVE OFFICER AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATIONIndividual | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | PRESIDENT, CHIEF EXECUTIVE OFFICER AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATION01/1994 | Schedule APDF page 95 |
| 3 | MATTHEW SCOTT MURPHYVICE PRESIDENT AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATIONIndividual | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | VICE PRESIDENT AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATION05/2013 | Schedule APDF page 95 |
| 4 | MICHAEL THOMAS JOHNSONVICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATIONIndividual | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER AND BOARD MEMBER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATION12/2009 | Schedule APDF page 95 |
| 5 | ADVANTAGE CAPITAL MANAGEMENT CORPORATIONDIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF ADVANTAGE CAPITAL AGRIBUSINESS MANAGER, L.L.C. (RELYING ADVISER)Domestic entity | ADVANTAGE CAPITAL | 75% or moreCode E | Yes | DIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF ADVANTAGE CAPITAL AGRIBUSINESS MANAGER, L.L.C. (RELYING ADVISER)08/2014 | Schedule APDF page 95 |
| 6 | ADVANTAGE CAPITAL MANAGEMENT CORPORATIONMEMBER OF ADVANTAGE CAPITAL AGRIBUSINESS GP, L.L.C. (RELYING ADVISER)Domestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL AGRIBUSINESS GP, L.L.C. (RELYING ADVISER)09/2014 | Schedule APDF page 95 |
| 7 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS III, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS III, LLC03/2020 | Schedule APDF page 95 |
| 8 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLC05/2021 | Schedule APDF page 95 |
| 9 | MICHAEL THOMAS JOHNSONMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLC05/2021 | Schedule APDF page 95 |
| 10 | MATTHEW SCOTT MURPHYMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLC05/2021 | Schedule APDF page 95 |
| 11 | ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VI, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VI, LLC09/2022 | Schedule APDF page 95 |
| 12 | ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VII, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VII, LLC09/2022 | Schedule APDF page 96 |
| 13 | ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS IV, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS IV, LLC04/2021 | Schedule APDF page 96 |
| 14 | ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS V, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS V, LLC04/2021 | Schedule APDF page 96 |
| 15 | ADVANTAGE CAPITAL ETCF GP, LLCGENERAL PARTNER OF EMPOWER THE CHANGE FUND, LPDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | GENERAL PARTNER OF EMPOWER THE CHANGE FUND, LP10/2021 | Schedule APDF page 96 |
| 16 | ETCF MANAGEMENT LLCMANAGER OF EMPOWER THE CHANGE FUND, LPDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MANAGER OF EMPOWER THE CHANGE FUND, LP10/2021 | Schedule APDF page 96 |
| 17 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLC09/2022 | Schedule APDF page 96 |
| 18 | MATTHEW SCOTT MURPHYMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLC09/2022 | Schedule APDF page 96 |
| 19 | MICHAEL THOMAS JOHNSONMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLC09/2022 | Schedule APDF page 96 |
| 20 | Thomas BittingMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLCIndividual | ADVANTAGE CAPITAL | 5% to less than 10%Code A | No | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS IV, LLC05/2021 | Schedule APDF page 96 |
| 21 | Thomas BittingMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLCIndividual | ADVANTAGE CAPITAL | 5% to less than 10%Code A | No | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2022, LLC09/2022 | Schedule APDF page 96 |
| 22 | ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VIII, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS VIII, LLC04/2023 | Schedule APDF page 96 |
| 23 | MICHAEL THOMAS JOHNSONMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLC04/2023 | Schedule APDF page 96 |
| 24 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLC04/2023 | Schedule APDF page 96 |
| 25 | Thomas BittingMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLC04/2023 | Schedule APDF page 96 |
| 26 | MATTHEW SCOTT MURPHYMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLC04/2023 | Schedule APDF page 96 |
| 27 | BOUDREAUX LORIO FRANCHESCACHIEF FINANCIAL OFFICER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATIONIndividual | ADVANTAGE CAPITAL | Less than 5%Code NA | No | CHIEF FINANCIAL OFFICER OF ADVANTAGE CAPITAL MANAGEMENT CORPORATION01/2023 | Schedule APDF page 96 |
| 28 | THEODORE DUBUQUE LOUISMEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLCIndividual | ADVANTAGE CAPITAL | 5% to less than 10%Code A | No | MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2023, LLC04/2023 | Schedule APDF page 96 |
| 29 | ADVANTAGE CAPTIAL SOLAR HOLDINGS 2024, LLCMEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS IX, LLC AND ADVANTAGE CAPITAL SOLAR PARTNERS X, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ADVANTAGE CAPITAL SOLAR PARTNERS IX, LLC AND ADVANTAGE CAPITAL SOLAR PARTNERS X, LLC10/2023 | Schedule APDF page 96 |
| 30 | ADVANTAGE CAPTIAL MANAGEMENT CORPORATIONMANAGING MEMBER AND DIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF ADVANTAGE CAPITAL INVESTMENT ADVISER, LLC (FILING ADVISER)Domestic entity | ADVANTAGE CAPITAL | 75% or moreCode E | Yes | MANAGING MEMBER AND DIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF ADVANTAGE CAPITAL INVESTMENT ADVISER, LLC (FILING ADVISER)03/2025 | Schedule APDF page 96 |
| 31 | MATTHEW SCOTT MURPHYMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLC10/2023 | Schedule APDF page 96 |
| 32 | MICHAEL THOMAS JOHNSONMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLC10/2023 | Schedule APDF page 96 |
| 33 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLC10/2023 | Schedule APDF page 96 |
| 34 | Thomas BittingMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2024, LLC10/2023 | Schedule APDF page 96 |
| 35 | ADVANTAGE CAPTIAL MANAGEMENT CORPORATIONMANAGING MEMBER AND DIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF AC FED LIHTC MANAGER IB, LLC (RELYING ADVISER)Domestic entity | ADVANTAGE CAPITAL | 75% or moreCode E | Yes | MANAGING MEMBER AND DIRECT OWNER OF 100% OF THE OWNERSHIP INTEREST OF AC FED LIHTC MANAGER IB, LLC (RELYING ADVISER)10/2024 | Schedule APDF page 96 |
| 36 | AC FED LIHTC MANAGER 1B, LLCMANAGING MEMBER OF ADVANTAGE CAPTIAL FED LIHTC FUND 1B, LLCDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MANAGING MEMBER OF ADVANTAGE CAPTIAL FED LIHTC FUND 1B, LLC11/2024 | Schedule APDF page 96 |
| 37 | ADVANTAGE CAPITAL INVESTMENT ADVISER, LLCMANAGER OF ADVANTAGE CAPITAL SOLAR PARTNERS IV, V, VI, VII, VIII, IX & XDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MANAGER OF ADVANTAGE CAPITAL SOLAR PARTNERS IV, V, VI, VII, VIII, IX & X03/2025 | Schedule APDF page 96 |
| 38 | ADVANTAGE CAPTIAL SOLAR HOLDINGS 2025, LLCMEMBER OF ACRF XI, ACRF XII, ACRF XIV, ACRF XV, ACRF XVI & ACRF XVIIIDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MEMBER OF ACRF XI, ACRF XII, ACRF XIV, ACRF XV, ACRF XVI & ACRF XVIII05/2025 | Schedule APDF page 96 |
| 39 | ADVANTAGE CAPITAL INVESTMENT ADVISER, LLCMANAGER OF ACRF XI, ACRF XII, ACRF XIV, ACRF XV, ACRF XVI & ACRF XVIIIDomestic entity | ADVANTAGE CAPITAL | Less than 5%Code NA | Yes | MANAGER OF ACRF XI, ACRF XII, ACRF XIV, ACRF XV, ACRF XVI & ACRF XVIII05/2025 | Schedule APDF page 96 |
| 40 | MATTHEW SCOTT MURPHYMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLC02/2025 | Schedule APDF page 96 |
| 41 | MICHAEL THOMAS JOHNSONMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLC02/2025 | Schedule APDF page 96 |
| 42 | STEVEN THEODORE STULLMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLCIndividual | ADVANTAGE CAPITAL | 25% to less than 50%Code C | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLC02/2025 | Schedule APDF page 96 |
| 43 | Thomas BittingMANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLCIndividual | ADVANTAGE CAPITAL | 10% to less than 25%Code B | Yes | MANAGER AND MEMBER OF ADVANTAGE CAPITAL SOLAR HOLDINGS 2025, LLC02/2025 | Schedule APDF page 96 |
| 44 | DANIEL FREDERICK WAGNERTRUSTEEIndividual | ADVANTAGE CAPITAL EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST | Percentage not specifiedCode F | Yes | TRUSTEE12/2009 | Schedule BPDF page 97 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 5/14/2026 2:26:50 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.