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CAPITAL BANK AND TRUST COMPANY

IRVINE, CA · CRD 170017 · IAPD ↗ · (949) 975-5000

$250.98BRegulatory AUM
0Advisory reps
106Employees
0Clients
n/aPlanning clients
0Private funds
51States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

75
October 2026 — CAPITAL BANK AND TRUST COMPANY reported RAUM up 80% ($139.29B -> $250.98B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
June 2026 — CAPITAL BANK AND TRUST COMPANY's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
75
December 2025 — CAPITAL BANK AND TRUST COMPANY reported RAUM up 84% ($75.86B -> $139.29B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
73
October 2024 — CAPITAL BANK AND TRUST COMPANY reported RAUM up 67% ($45.43B -> $75.86B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.