Capital Bank and Trust Company

Registered investment adviser · Irvine, CA · CRD #170017

Form ADV data as of 2026-09-01

Regulatory assets

$139.29 billion

Total accounts

579

Employees

121

Disclosure events

Firm details

Website: https://www.youtube.com/c/capitalgroupvideos
Telephone: (949) 975-5000
SEC file number: 801-79234
Most recent Form ADV filing: 2026-05-29
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$139.29 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$139.29 billion
Discretionary accounts	579
Non-discretionary accounts	0
Total accounts	579
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	121
Employees performing investment advisory functions (including research)	0
Employees who are registered representatives of a broker-dealer	1
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$135.35 billion
Clients for whom the firm has custody	73
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$3.94 billion
Clients for whom a related person has custody	500
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	1

How the firm is compensated

A percentage of assets under management

Advisory services offered

Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Other business activities

Commodity pool operator or commodity trading advisorBank (including a separately identifiable department or division)Trust company

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorTrust companyInsurance company or agencySponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
High net worth individuals	501	$3.37 billion
Pooled investment vehicles (other than investment companies and BDCs)	61	$135.35 billion
Charitable organizations	14	$571.5 million
State or municipal government entities (including government pension plans)	1	$0
Insurance companies	1	$0
Corporations or other businesses not listed above	1	$0