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 Plexus 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%
HOWARD KELLY LANDIS, III REVOCABLE TRUST U/A/O JULY 26, 2011, AS AMENDEDDirect owner · Schedule AInterest in PLEXUS CAPITAL
10% to < 25%
MICHAEL K. PAINTER REVOCABLE TRUST U/A/O SEPTEMBER 4, 2013, AS AMENDEDDirect owner · Schedule AInterest in PLEXUS CAPITAL
10% to < 25%
ROBERT R ANDERS, JR. 2013 IRREVOCABLE TRUST AGREEMENT DATED FEB 28, 2013Direct owner · Schedule AInterest in PLEXUS CAPITAL
10% to < 25%
MICHAEL S. BECKER REVOCABLE TRUSTDirect owner · Schedule AInterest in PLEXUS CAPITAL
10% to < 25%
JOHN C. JESTER IV, 2008 TRUSTDirect owner · Schedule AInterest in PLEXUS CAPITAL
10% to < 25%
ROBERT STRANGE GEFAELLDirect owner · Schedule AInterest in PLEXUS CAPITAL
5% to < 10%
ALEXANDER CHRISTOPHER BEANDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
JOHN CARLTON JESTERDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
MICHAEL KENT PAINTERDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
MICHAEL SHEL BECKERDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
ROBERT RUFUS ANDERSDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
WILLIAM WOODARD ANDERSDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
ALEXANDER CHRISTOPHER BEAN REVOCABLE TRUST U/A/D JULY 9, 2018, AS AMENDEDDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
WILLIAM WOODARD ANDERS REVOCABLE TRUST NOVEMBER 2012, AS AMENDEDDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
Chris AntonelloDirect owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
CHRISTOPHER AND CARRIE J. ANTONELLO TRUST DATED NOVEMBER 5, 1998Direct owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
BIRINGER REVOCABLE TRUST DATED FEBRUARY 12, 2021Direct owner · Schedule AInterest in PLEXUS CAPITAL
< 5%
2022 KATHERINE COHEN WALKER LIVING TRUST DATED MAY 4, 2022Direct owner · Schedule AInterest in PLEXUS 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 Plexus Capital.
Reported ownership and control details
Form ADV · Filing date 2026-09-28 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | ALEXANDER CHRISTOPHER BEANPARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PARTNER01/2016 | Schedule APDF page 109 |
| 2 | JOHN CARLTON JESTERPARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PARTNER12/2019 | Schedule APDF page 109 |
| 3 | MICHAEL KENT PAINTERCO-FOUNDER AND MANAGING PARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | CO-FOUNDER AND MANAGING PARTNER05/2005 | Schedule APDF page 109 |
| 4 | MICHAEL SHEL BECKERCO-FOUNDER AND PARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | CO-FOUNDER AND PARTNER05/2005 | Schedule APDF page 109 |
| 5 | ROBERT RUFUS ANDERSCO-FOUNDER AND PARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | CO-FOUNDER AND PARTNER05/2005 | Schedule APDF page 109 |
| 6 | ROBERT STRANGE GEFAELLMEMBERIndividual | PLEXUS CAPITAL | 5% to less than 10%Code A | No | MEMBER05/2005 | Schedule APDF page 109 |
| 7 | WILLIAM WOODARD ANDERSPARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PARTNER01/2016 | Schedule APDF page 109 |
| 8 | ALEXANDER CHRISTOPHER BEAN REVOCABLE TRUST U/A/D JULY 9, 2018, AS AMENDEDMEMBERDomestic entity | PLEXUS CAPITAL | Less than 5%Code NA | No | MEMBER01/2020 | Schedule APDF page 109 |
| 9 | HOWARD KELLY LANDIS, III REVOCABLE TRUST U/A/O JULY 26, 2011, AS AMENDEDMEMBERDomestic entity | PLEXUS CAPITAL | 10% to less than 25%Code B | No | MEMBER09/2013 | Schedule APDF page 109 |
| 10 | MICHAEL K. PAINTER REVOCABLE TRUST U/A/O SEPTEMBER 4, 2013, AS AMENDEDMEMBERDomestic entity | PLEXUS CAPITAL | 10% to less than 25%Code B | No | MEMBER09/2013 | Schedule APDF page 109 |
| 11 | WILLIAM WOODARD ANDERS REVOCABLE TRUST NOVEMBER 2012, AS AMENDEDMEMBERDomestic entity | PLEXUS CAPITAL | Less than 5%Code NA | No | MEMBER07/2020 | Schedule APDF page 109 |
| 12 | RONDA MYERS PENNCHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER09/2012 | Schedule APDF page 109 |
| 13 | ROBERT R ANDERS, JR. 2013 IRREVOCABLE TRUST AGREEMENT DATED FEB 28, 2013MEMBERDomestic entity | PLEXUS CAPITAL | 10% to less than 25%Code B | No | MEMBER12/2020 | Schedule APDF page 109 |
| 14 | Chris AntonelloOPERATING PARTNERIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | OPERATING PARTNER01/2022 | Schedule APDF page 109 |
| 15 | BARRETT ROCKWOOD BIRINGERPRINCIPALIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PRINCIPAL01/2022 | Schedule APDF page 109 |
| 16 | KENNETH CAMERON COLEYPRINCIPALIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PRINCIPAL01/2022 | Schedule APDF page 109 |
| 17 | KATHERINE COHEN WALKERPRINCIPALIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PRINCIPAL01/2022 | Schedule APDF page 109 |
| 18 | BRADLEY JAMES PENCEPRINCIPALIndividual | PLEXUS CAPITAL | Less than 5%Code NA | Yes | PRINCIPAL01/2022 | Schedule APDF page 109 |
| 19 | MICHAEL S. BECKER REVOCABLE TRUSTMEMBERDomestic entity | PLEXUS CAPITAL | 10% to less than 25%Code B | No | MEMBER01/2022 | Schedule APDF page 109 |
| 20 | CHRISTOPHER AND CARRIE J. ANTONELLO TRUST DATED NOVEMBER 5, 1998MEMBERDomestic entity | PLEXUS CAPITAL | Less than 5%Code NA | No | MEMBER01/2022 | Schedule APDF page 109 |
| 21 | JOHN C. JESTER IV, 2008 TRUSTMEMBERDomestic entity | PLEXUS CAPITAL | 10% to less than 25%Code B | No | MEMBER01/2022 | Schedule APDF page 109 |
| 22 | BIRINGER REVOCABLE TRUST DATED FEBRUARY 12, 2021MEMBERDomestic entity | PLEXUS CAPITAL | Less than 5%Code NA | No | MEMBER01/2022 | Schedule APDF page 109 |
| 23 | 2022 KATHERINE COHEN WALKER LIVING TRUST DATED MAY 4, 2022MEMBERDomestic entity | PLEXUS CAPITAL | Less than 5%Code NA | No | MEMBER01/2022 | Schedule APDF page 109 |
| 24 | ALEXANDER CHRISTOPHER BEANTRUSTEEIndividual | ALEXANDER CHRISTOPHER BEAN REVOCABLE TRUST U/A/D JULY 9, 2018, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE07/2018 | Schedule BPDF page 110 |
| 25 | MICHAEL KENT PAINTERTRUSTEEIndividual | MICHAEL K. PAINTER REVOCABLE TRUST U/A/O SEPTEMBER 4, 2013, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE09/2013 | Schedule BPDF page 110 |
| 26 | WILLIAM WOODARD ANDERSTRUSTEEIndividual | WILLIAM WOODARD ANDERS REVOCABLE TRUST NOVEMBER 2012, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE11/2012 | Schedule BPDF page 110 |
| 27 | Nina Szlosberg-LandisTRUSTEEIndividual | HOWARD KELLY LANDIS, III REVOCABLE TRUST U/A/O JULY 26, 2011, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE01/2021 | Schedule BPDF page 110 |
| 28 | Dorsey Landis TobiasTRUSTEEIndividual | HOWARD KELLY LANDIS, III REVOCABLE TRUST U/A/O JULY 26, 2011, AS AMENDED | Percentage not specifiedCode F | Yes | TRUSTEE01/2021 | Schedule BPDF page 110 |
| 29 | Amanda Brantley AndersTRUSTEEIndividual | ROBERT R ANDERS, JR. 2013 IRREVOCABLE TRUST AGREEMENT DATED FEB 28, 2013 | Percentage not specifiedCode F | Yes | TRUSTEE12/2020 | Schedule BPDF page 110 |
| 30 | MICHAEL SHEL BECKERTRUSTEEIndividual | MICHAEL S. BECKER REVOCABLE TRUST | Percentage not specifiedCode F | Yes | TRUSTEE01/2022 | Schedule BPDF page 110 |
| 31 | Chris AntonelloTRUSTEEIndividual | CHRISTOPHER AND CARRIE J. ANTONELLO TRUST DATED NOVEMBER 5, 1998 | Percentage not specifiedCode F | Yes | TRUSTEE01/2022 | Schedule BPDF page 110 |
| 32 | JOHN CARLTON JESTERTRUSTEEIndividual | JOHN C. JESTER IV, 2008 TRUST | Percentage not specifiedCode F | Yes | TRUSTEE01/2022 | Schedule BPDF page 110 |
| 33 | BARRETT ROCKWOOD BIRINGERTRUSTEEIndividual | BIRINGER REVOCABLE TRUST DATED FEBRUARY 12, 2021 | Percentage not specifiedCode F | Yes | TRUSTEE01/2022 | Schedule BPDF page 110 |
| 34 | KATHERINE COHEN WALKERTRUSTEEIndividual | 2022 KATHERINE COHEN WALKER LIVING TRUST DATED MAY 4, 2022 | Percentage not specifiedCode F | Yes | TRUSTEE01/2022 | Schedule BPDF page 110 |
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 3/30/2026 1:35:40 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.