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 Captrust
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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%
THE CAPFINANCIAL GROUP, LLCDirect owner · Schedule AInterest in CAPTRUST
75%+
GTCR FUND XII/B LPIndirect owner · Schedule BInterest in HALFTIME HOLDINGS LLC
75%+
JAMES FIELDING MILLERIndirect owner · Schedule BInterest in CAPFINANCIAL HOLDINGS, INC.
25% to < 50%
CAPFINANCIAL HOLDINGS, INC.Indirect owner · Schedule BInterest in THE CAPFINANCIAL GROUP, LLC
25% to < 50%
HALFTIME HOLDINGS LLCIndirect owner · Schedule BInterest in THE CAPFINANCIAL GROUP, LLC
25% to < 50%
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 Captrust.
Reported ownership and control details
Form ADV · Filing date 2026-09-30 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | JAMES FIELDING MILLERCHIEF EXECUTIVE OFFICERIndividual | CAPTRUST | Less than 5%Code NA | Yes | CHIEF EXECUTIVE OFFICER02/2003 | Schedule APDF page 134 |
| 2 | THE CAPFINANCIAL GROUP, LLCMEMBERDomestic entity | CAPTRUST | 75% or moreCode E | Yes | MEMBER05/2015 | Schedule APDF page 134 |
| 3 | WILSON SMITH HOYLEMANAGING DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | Yes | MANAGING DIRECTOR12/2009 | Schedule APDF page 134 |
| 4 | BENJAMIN STUART GOLDSTEINPRESIDENTIndividual | CAPTRUST | Less than 5%Code NA | Yes | PRESIDENT04/2010 | Schedule APDF page 134 |
| 5 | DERICK DON SHOFFMANAGING DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | No | MANAGING DIRECTOR12/2009 | Schedule APDF page 134 |
| 6 | SCOTT THOMAS MATHESONMANAGING DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | Yes | MANAGING DIRECTOR04/2017 | Schedule APDF page 134 |
| 7 | Christina Markell-BallezaMANAGING DIRECTOR, GENERAL COUNSELIndividual | CAPTRUST | Less than 5%Code NA | Yes | MANAGING DIRECTOR, GENERAL COUNSEL01/2022 | Schedule APDF page 134 |
| 8 | Jonathan Seth MeyerCHIEF TECHNOLOGY OFFICERIndividual | CAPTRUST | Less than 5%Code NA | No | CHIEF TECHNOLOGY OFFICER01/2020 | Schedule APDF page 134 |
| 9 | MICHAEL JAMES VOGELZANGMANAGING DIRECTOR, CHIEF INVESTMENT OFFICERIndividual | CAPTRUST | Less than 5%Code NA | No | MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER06/2021 | Schedule APDF page 134 |
| 10 | ROBERT A MILLERCHIEF FINANCIAL OFFICERIndividual | CAPTRUST | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER08/2021 | Schedule APDF page 134 |
| 11 | Edward Virgil WelchMANAGING DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | No | MANAGING DIRECTOR01/2021 | Schedule APDF page 134 |
| 12 | Ann LeddyCHIEF COMPLIANCE OFFICERIndividual | CAPTRUST | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER09/2023 | Schedule APDF page 134 |
| 13 | KAREN OLIVIA DENISESENIOR DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | No | SENIOR DIRECTOR05/2025 | Schedule APDF page 134 |
| 14 | MICHAEL ARM WUNDERLIMANAGING DIRECTORIndividual | CAPTRUST | Less than 5%Code NA | No | MANAGING DIRECTOR06/2025 | Schedule APDF page 134 |
| 15 | KATELYN NICOLE SAMPSONCHIEF HUMAN RESOURCES OFFICERIndividual | CAPTRUST | Less than 5%Code NA | No | CHIEF HUMAN RESOURCES OFFICER05/2026 | Schedule APDF page 134 |
| 16 | ANDREW ROBERT RAGGIOSENIOR DIRECTOR, HEAD OF TRADINGIndividual | CAPTRUST | Less than 5%Code NA | No | SENIOR DIRECTOR, HEAD OF TRADING01/2026 | Schedule APDF page 134 |
| 17 | JAMES FIELDING MILLERDIRECTORIndividual | CAPFINANCIAL HOLDINGS, INC. | 25% to less than 50%Code C | Yes | DIRECTOR05/2015 | Schedule BPDF page 134 |
| 18 | CAPFINANCIAL HOLDINGS, INC.MEMBERDomestic entity | THE CAPFINANCIAL GROUP, LLC | 25% to less than 50%Code C | Yes | MEMBER05/2015 | Schedule BPDF page 134 |
| 19 | JAMES FIELDING MILLERBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | Yes | BOARD OF MANAGERS05/2015 | Schedule BPDF page 135 |
| 20 | ROBERT G SOLOMONBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS05/2015 | Schedule BPDF page 135 |
| 21 | WILSON SMITH HOYLEBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | Yes | BOARD OF MANAGERS05/2015 | Schedule BPDF page 135 |
| 22 | HALFTIME HOLDINGS LLCMEMBERDomestic entity | THE CAPFINANCIAL GROUP, LLC | 25% to less than 50%Code C | Yes | MEMBER08/2020 | Schedule BPDF page 135 |
| 23 | GTCR FUND XII/B LPMEMBERDomestic entity | HALFTIME HOLDINGS LLC | 75% or moreCode E | Yes | MEMBER06/2020 | Schedule BPDF page 135 |
| 24 | BENJAMIN STUART GOLDSTEINBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | Yes | BOARD OF MANAGERS04/2010 | Schedule BPDF page 135 |
| 25 | COLLIN EDWARD ROCHEBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS06/2020 | Schedule BPDF page 135 |
| 26 | DASHA MARIE SMITHBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS08/2020 | Schedule BPDF page 135 |
| 27 | Mark Sanford WilsonBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS06/2020 | Schedule BPDF page 135 |
| 28 | MICHAEL S HOLLANDERBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS06/2020 | Schedule BPDF page 135 |
| 29 | Christina Markell-BallezaBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | Yes | BOARD OF MANAGERS10/2020 | Schedule BPDF page 135 |
| 30 | James BurrBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS11/2023 | Schedule BPDF page 135 |
| 31 | JOHN CHRISTOPHER REDETTBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS11/2023 | Schedule BPDF page 135 |
| 32 | KALEN JAMES MCCONNELLBOARD OF MANAGERSIndividual | THE CAPFINANCIAL GROUP, LLC | Percentage not specifiedCode F | No | BOARD OF MANAGERS10/2023 | Schedule BPDF page 135 |
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 9/24/2026 2:02:09 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.