Capital Bank And Trust Company
- Regulatory AUM
- $139B
- Discretionary
- $139B
- Clients
- 579
- Avg AUM / client
- $241M
- Accounts
- 579
- Employees
- 121
AUM over time
Annual snapshots from Form ADV filings · as of May 29, 2026
Asset allocation (SMA assets by investment type)
as of May 29, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 501 | $3.4B | 2.42% |
| Pooled investment vehicles (non-investment companies) | 61 | $135B | 97.2% |
| Charitable organizations | 14 | $571M | 0.41% |
| State or municipal government entities | 1 | $0 | — |
| Insurance companies | 1 | $0 | — |
| Corporations and other businesses | 1 | $0 | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Centris Federal Credit Union Retirement Plan Centris Federal Credit Union | 2024 | |
| Retirement Security Plan National Rural Electric Cooperative Association | Arlington, VA | 2024 |
| Gentlebrook 401(k) Retirement Savings Plan Gentlebrook | 2024 | |
| Schraad & Associates Sales/Marketing, Inc. 401(k) Plan Schraad & Associates Sales/Marketing, Inc. | 2024 | |
| Pruett's Food 401(k) Plan Pruett's Food, Inc. | 2024 | |
| Diakonos Group Retirement Savings Plan Diakonos Group, Llc | 2024 | |
| North American Packaging, Llc Dba Econo Pak 401 K Profit Sharing Plan And Trust North American Packaging, Llc Dba Econo Pak | 2024 | |
| Community Specialists, Inc. 401(k) & Profit Sharing Plan Community Specialists, Inc. | 2024 |
People (8)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Silverman, Susi, Michele | Treasurer & Controller | May 2009 (17y) | Less than 5% | |
| Spinella, Carmelo | Director | Jul 2009 (17y) | Less than 5% | |
| Nishiyama, Kristine, Mie | Director, Chair, Senior Vice President And General Counsel | Mar 2013 (13y) | Less than 5% | |
| Burke, Kevin, Thomas | Director | Jan 2016 (11y) | Less than 5% | |
| Lamkin, Janet, Wesley | Director | Sep 2021 (5y) | Less than 5% | |
| Saks, Kevin, Michael | Director And President | Feb 2023 (4y) | Less than 5% | |
| Kerrick, Michelle, C. | Director | Jan 2024 (3y) | Less than 5% | |
| Nixon, Naseem, Zarifeh Sahar | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| The Capital Group Companies, Inc. | Stockholder | Jul 2000 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (8)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Centris Federal Credit Union Retirement Plan | Centris Federal Credit Union | 52 | $34.1M | 04/01/2024 |
| Retirement Security Plan | National Rural Electric Cooperative Association | 56,128 | $11.5B | 01/01/2024 |
| Gentlebrook 401(k) Retirement Savings Plan | Gentlebrook | 251 | $6.2M | 01/01/2024 |
| Schraad & Associates Sales/Marketing, Inc. 401(k) Plan | Schraad & Associates Sales/Marketing, Inc. | 164 | $11.8M | 01/01/2024 |
| Pruett's Food 401(k) Plan | Pruett's Food, Inc. | 494 | $11.8M | 01/01/2024 |
| Diakonos Group Retirement Savings Plan | Diakonos Group, Llc | 649 | $1.7M | 01/01/2024 |
| North American Packaging, Llc Dba Econo Pak 401 K Profit Sharing Plan And Trust | North American Packaging, Llc Dba Econo Pak | 196 | $1.8M | 01/01/2024 |
| Community Specialists, Inc. 401(k) & Profit Sharing Plan | Community Specialists, Inc. | 107 | $6.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.66 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), RECEIVED A NOTICE DATED SEPTEMBER 15, 2023 FROM THE FDF ALLEGING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWISS COMPANY, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY CGC'S INVESTMENT ADVISORY SUBSIDIARIES, WAS NOT MADE WITHIN THE FOUR TRADING DAY TIME LIMIT. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA SUPPLIED TO THE REGISTRANT BY A THIRD-PARTY VENDOR. Status: Pending Summary: THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), RECEIVED A NOTICE DATED SEPTEMBER 15, 2023 FROM THE FDF ALLEGING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWISS COMPANY, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY CGC'S INVESTMENT ADVISORY SUBSIDIARIES, WAS NOT MADE WITHIN THE FOUR TRADING DAY TIME LIMIT. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA SUPPLIED TO THE REGISTRANT BY A THIRD-PARTY VENDOR. THE FDF HAS RECOMMENDED THE IMPOSITION OF A FINE AS A RESULT OF THESE ALLEGATIONS, BUT THE FDF HAS NOT YET MADE ITS FINAL DETERMINATION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $13.8B (30% of AUM) Jun 2020
- Wells Fargo $7.0B (9% of AUM) Jul 2025
- BNY Mellon $3.9B (3% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 29, 2026.
View current Form ADV (SEC/IAPD) ↗