Capital Group Private Client Services, Inc.
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 312837
· SEC file 801-121267
· Los Angeles, CA
· www.instagram.com
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ADV data as of May 29, 2026
- Regulatory AUM
- $42.7B
- Discretionary
- $38.5B
- Clients
- 8,638
- Avg AUM / client
- $4.9M
- Accounts
- 12,073
- Employees
- 189
AUM over time
$30.9B
$42.7B
Jun 2021
May 2026
Annual snapshots from Form ADV filings · as of May 29, 2026
Asset allocation (SMA assets by investment type)
as of May 29, 2026
Registered investment companies (funds/ETFs)
$23.5B
55%
Exchange-traded equities
$13.2B
31%
State & local bonds
$2.6B
6%
Cash & equivalents
$2.1B
5%
Pooled investment vehicles
$854M
2%
Non-exchange-traded equities
$427M
1%
Share 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 | 7,684 | $31.6B | 74.0% |
| Pooled investment vehicles (non-investment companies) | 1 | $111M | 0.26% |
| Pension and profit sharing plans | 47 | $121M | 0.28% |
| Charitable organizations | 627 | $6.4B | 15.1% |
| Corporations and other businesses | 279 | $4.4B | 10.4% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Dec 2024 · $107M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Capital Group Alternative Strategies Master Fund, Lp master | Other Private Fund | Delaware | $107M | 2 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (107)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Burt, Christopher, Thomas | Director, Senior Vice President And Secretary | Jul 2020 (6y) | Less than 5% | |
| Matthew Philip O'connor | Director, Chairman | CFA | Jul 2020 (6y) | Less than 5% |
| Saks, Kevin, Michael | Director, Senior Vice President And Chief Operating Officer | Jul 2020 (6y) | Less than 5% | |
| Silverman, Susi, Michele | Chief Financial Officer And Treasurer | Oct 2020 (6y) | Less than 5% | |
| Keith Alan Piken | Director, President | Jun 2023 (3y) | Less than 5% | |
| Nixon, Naseem, Zarifeh Sahar | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% | |
| Alan M Swerdloff | Registered representative | Jul 2021 (5y) | ||
| Andrew James Micallef | Registered representative | Jul 2021 (5y) | ||
| Aniekan Okon Archibong | Registered representative | Jul 2021 (5y) | ||
| Dale Han Kang | Registered representative | CFA | Jul 2021 (5y) | |
| Daniel Neil Romanow | Registered representative | CFP | Jul 2021 (5y) | |
| David Joseph Ferry | Registered representative | Jul 2021 (5y) | ||
| Dean William Catalano | Registered representative | Jul 2021 (5y) | ||
| Edward Manuel Gonzalez | Registered representative | CFA | Jul 2021 (5y) | |
| Eric Martin Heer | Registered representative | Jul 2021 (5y) | ||
| Glenn Andrew Odonnell | Registered representative | Jul 2021 (5y) | ||
| Glenn Garry Geist | Registered representative | Jul 2021 (5y) | ||
| Gregory David Singer | Registered representative | Jul 2021 (5y) | ||
| J Bradford Barnes | Registered representative | Jul 2021 (5y) | ||
| Jason Bellamy Lersch | Registered representative | CFP | Jul 2021 (5y) | |
| Jennifer Baker Cook | Registered representative | Jul 2021 (5y) | ||
| Jennifer George Birdsey | Registered representative | CFP | Jul 2021 (5y) | |
| Joseph Matthew Lumarda | Registered representative | Jul 2021 (5y) | ||
| Justin Brennan | Registered representative | Jul 2021 (5y) | ||
| Javier Escamilla | Registered representative | CFA | Jul 2021 (5y) | |
| Jeffrey Aaron Ruderman | Registered representative | CFP | Jul 2021 (5y) | |
| Lynne Marie Knox | Registered representative | Jul 2021 (5y) | ||
| Mark William Flower | Registered representative | Jul 2021 (5y) | ||
| Massimigliano Santo Sasso | Registered representative | Jul 2021 (5y) | ||
| Michael Edmond Schmid | Registered representative | CFP CFA | Jul 2021 (5y) | |
| Michael James Morrissey | Registered representative | Jul 2021 (5y) | ||
| Michelle Missant Jackson | Registered representative | CFP | Jul 2021 (5y) | |
| Neeraj Pravin Patel | Registered representative | Jul 2021 (5y) | ||
| Norman Robert Sanyour | Registered representative | Jul 2021 (5y) | ||
| Rachel Wells Melroy | Registered representative | CFP | Jul 2021 (5y) | |
| Ralph Emerson Heckert | Registered representative | Jul 2021 (5y) | ||
| Robert Barron Lewis | Registered representative | Jul 2021 (5y) | ||
| Robert William Kelly | Registered representative | CFA | Jul 2021 (5y) | |
| Samuel Mitchell Dashiell | Registered representative | Jul 2021 (5y) | ||
| Sandra Shearouse Morelli | Registered representative | Jul 2021 (5y) | ||
| Savitri Padmaviti Pai | Registered representative | Jul 2021 (5y) | ||
| Scott Mitchell Sandler | Registered representative | Jul 2021 (5y) | ||
| Steven John Lucadamo | Registered representative | Jul 2021 (5y) | ||
| Sung Pyo Lee | Registered representative | Jul 2021 (5y) | ||
| Susannah Emami | Registered representative | Jul 2021 (5y) | ||
| Tara Nicole Rich | Registered representative | Jul 2021 (5y) | ||
| Thomas Nicholas Anderson | Registered representative | Jul 2021 (5y) | ||
| William Mark Carey | Registered representative | Jul 2021 (5y) | ||
| Yelena Leah Vayner | Registered representative | Jul 2021 (5y) | ||
| Zornitsa Ventsislavova Santiago | Registered representative | Jul 2021 (5y) | ||
| Amy Foo | Registered representative | Sep 2021 (5y) | ||
| Aaron Robert Petersen | Registered representative | CFP | Nov 2021 (5y) | |
| Elizabeth Driscoll Denning | Registered representative | CFP | Mar 2022 (4y) | |
| William Eagan Ford | Registered representative | CFA | Sep 2022 (4y) | |
| Sean Thomas Rourke | Registered representative | Oct 2022 (4y) | ||
| Brooks Hamilton Doggett | Registered representative | CFA | Nov 2022 (4y) | |
| Sarah Alvarez Rodriguez | Registered representative | Aug 2023 (3y) | ||
| Intcher Bramlett | Registered representative | CFP | May 2024 (2y) | |
| Douglas Mc Leod Kilroy | Registered representative | CFP | Aug 2024 (2y) | |
| Tenny Elize Adourian | Registered representative | Chartered Financial Consultant | Sep 2024 (2y) | |
| Eileen Catherine Kane | Registered representative | CFP | Sep 2024 (2y) | |
| Ronald Locatelli Flores | Registered representative | Sep 2024 (2y) | ||
| James Mc Ateer | Registered representative | Oct 2024 (2y) | ||
| Siobhan Kirby Morse | Registered representative | Oct 2024 (2y) | ||
| Michelle Moon St Julien | Registered representative | Oct 2024 (2y) | ||
| Bhavika Acharya Beniwal | Registered representative | Oct 2024 (2y) | ||
| David Archila | Registered representative | Dec 2024 (2y) | ||
| Justin Morales | Registered representative | CFP | Feb 2025 (1y) | |
| Matthew Yonak | Registered representative | CFP | Feb 2025 (1y) | |
| Kristen Hill | Registered representative | Feb 2025 (1y) | ||
| Nicole Theresa Kisak | Registered representative | CFP | Feb 2025 (1y) | |
| Jessica Anne German | Registered representative | Mar 2025 (1y) | ||
| Joyce Lee | Registered representative | CFP | Mar 2025 (1y) | |
| Marco Sementilli | Registered representative | CFA | Mar 2025 (1y) | |
| James Peter Evans | Registered representative | Apr 2025 (1y) | ||
| Emily Konrad Lantz | Registered representative | Apr 2025 (1y) | ||
| Alexander John Hwang | Registered representative | Apr 2025 (1y) | ||
| Alexandra Z Holcomb | Registered representative | Apr 2025 (1y) | ||
| Andrew Joseph Leary | Registered representative | Apr 2025 (1y) | ||
| Shant Kevin Gourdikian | Registered representative | Apr 2025 (1y) | ||
| Sunita Hira Patel | Registered representative | CFP | Apr 2025 (1y) | |
| Maria Fernanda Ferreras | Registered representative | May 2025 (1y) | ||
| Jenna Scandalios | Registered representative | May 2025 (1y) | ||
| Richard Gutierrez | Registered representative | CFP | May 2025 (1y) | |
| Nicole Whitney Hultin | Registered representative | May 2025 (1y) | ||
| Corey Miller | Registered representative | May 2025 (1y) | ||
| Charles Schroeder Boardman | Registered representative | Jun 2025 (1y) | ||
| Massimo Bufalini | Registered representative | Aug 2025 (1y) | ||
| Kevin Francis Dolan | Registered representative | Sep 2025 (1y) | ||
| Lucas Nathanial Trammell | Registered representative | Sep 2025 (1y) | ||
| William Christopher Jenkins | Registered representative | Sep 2025 (1y) | ||
| Nora Christina Mc Cormack | Registered representative | Sep 2025 (1y) | ||
| Zachary Walker | Registered representative | Oct 2025 (1y) | ||
| Jaimie Christina Miller | Registered representative | CFA | Oct 2025 (1y) | |
| Jonathan E Taylor | Registered representative | CFA | Oct 2025 (1y) | |
| Emilija Gaubaite | Registered representative | Nov 2025 (1y) | ||
| Nikita Rajeev Mutalik | Registered representative | Dec 2025 (1y) | ||
| Kevork George Dulgeryan | Registered representative | Jan 2026 (1y) | ||
| Michael Min Kai Chen | Registered representative | CFA | Jan 2026 (1y) | |
| Catherine Jane Layton | Registered representative | Jan 2026 (1y) | ||
| Keith Thomas Brennan | Registered representative | Mar 2026 (0y) | ||
| Cameron Jaimes Killeen | Registered representative | CFA | Apr 2026 (0y) | |
| Caroline Margaret Truchan | Registered representative | Apr 2026 (0y) | ||
| Janna Christine Hahn | Registered representative | Apr 2026 (0y) | ||
| Michael Bartley Laubenstein | Registered representative | CFP | Apr 2026 (0y) | |
| Hayden John Edmonds | Registered representative | May 2026 (0y) | ||
| Mariella Ann Caruso | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Capital Group International, Inc. | Shareholder | Jul 2020 | A | 75% or more |
| Capital Research And Management Company | Shareholder | Jul 2014 | B | ≈ 56.25% – 100% via Capital Group International, Inc. |
| The Capital Group Companies, Inc. | Shareholder | Feb 1967 | B | ≈ 42.19% – 100% via Capital Research And Management Company |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Capital Research And Management Company: 75% – 100% of Capital Group International, Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
- The Capital Group Companies, Inc.: 75% – 100% of Capital Research And Management Company × 75% – 100% of Capital Group International, Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
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.
Private funds (1, $107M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Capital Group Alternative Strategies Master Fund, Lp | Other Private Fund | $107M | $500K | 2 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (17)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| North Carolina Virtual Academy 401(k) Plan | North Carolina Learns, Inc. | 212 | $3.6M | 07/01/2024 |
| Ubs Financial Services Inc. Pension Plan | Ubs Financial Services Inc. | 877 | $579M | 01/01/2024 |
| Miedema Produce, Inc. 401 K Retirement Plan | Miedema Produce, Inc. | 162 | $10.2M | 01/01/2024 |
| Wayne County Action Program, Inc. 403(b) Thrift Plan | Wayne County Action Program, Inc. | 585 | $2.8M | 01/01/2024 |
| Preferred Companies 401(k) Plan | Preferred Companies | 93 | $1.4M | 01/01/2024 |
| The Decc Company, Inc. Retirement Savings Plan | The Decc Company, Inc. | 122 | $4.1M | 01/01/2024 |
| Valgroup North America, Inc. 401(k) Plan | Valgroup North America, Inc. | 153 | $9.4M | 01/01/2024 |
| Spokeo Inc 401(k) Profit Sharing Plan & Trust | Spokeo Inc | 140 | $16.4M | 01/01/2024 |
| Deep Seas 401(k) Plan | Deep Seas, Llc | 179 | $10.4M | 01/01/2024 |
| Parasol Group 401(k) Plan | Parasol Group, Inc. | 0 | $0 | 01/01/2024 |
| First Secure Banks Retirement Plan | First Secure Community Bank | 123 | $5.2M | 01/01/2024 |
| Weisser Distributing, Inc. 401(k) Profit Sharing Plan | Weisser Distributing, Inc. | 46 | $6.4M | 01/01/2024 |
| Newesco, Inc. 401(k) Profit Sharing Plan | Newesco,Inc. Dba Nelson Westerberg, Inc. | 156 | $20.9M | 01/01/2024 |
| Alchemer 401(k) Plan | Alchemer Llc | 176 | $17.1M | 01/01/2024 |
| Bluestem Health 401(k) Plan | Bluestem Health | 182 | $6.2M | 01/01/2024 |
| Al Jazeera International (Usa) 401(k) Retirement Plan | Al Jazeera International (Usa) Llc | 203 | $51.3M | 01/01/2024 |
| Zamperla, Inc. Profit Sharing 401(k) Plan | Zamperla, Inc. | 75 | $4.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.87 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory
as of Dec 09, 2024
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 individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- BNY Mellon $40.1B (94% 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) ↗