CAPTRUST FINANCIAL ADVISORS, LLC
Legal name: CAPTRUST FINANCIAL ADVISORS
CRD #41727 SEC #801-53502 CHARLOTTE, NC 704-379-7850
SEC Registered Broker-Dealer
Total AUM
$1B
Discretionary
$312.8M
Employees
51
Clients
101
Accounts
2,613
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- SEPTEMBER
- Registration Date
- --
- Latest Filing
- Apr 24, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BOONE, JAMES CHRISTOPHER | I | CFO, COO | NA | |
| BOONE, JAMES CHRISTOPHER | I | CFO, COO | NA | |
| BOONE, JAMES CHRISTOPHER | I | CFO, COO | NA | |
| BOONE, JAMES CHRISTOPHER | I | CFO, COO | NA | |
| BOONE, JAMES CHRISTOPHER | I | CFO, COO | NA | |
| DALRYMPLE, EDWIN ARCHIBALD JR | I | CEO | NA | Control |
| DALRYMPLE, EDWIN ARCHIBALD JR | I | CEO | NA | Control |
| DICKEY, FRANK GRAVES III | I | TREASURER | NA | |
| DICKEY, FRANK GRAVES III | I | TREASURER | NA | |
| DICKEY, FRANK GRAVES III | I | TREASURER | NA | |
| DICKEY, FRANK GRAVES III | I | TREASURER | NA | |
| DICKEY, FRANK GRAVES III | I | TREASURER | NA | |
| GRANZOW, JOHN COOPER | I | PRESIDENT | NA | Control |
| GRANZOW, JOHN COOPER | I | PRESIDENT | NA | Control |
| HEARN, MICHAEL DEAN | I | SECRETARY | NA | |
| HEARN, MICHAEL DEAN | I | SECRETARY | NA | |
| HEARN, MICHAEL DEAN | I | SECRETARY | NA | |
| HEARN, MICHAEL DEAN | I | SECRETARY | NA | |
| HEARN, MICHAEL DEAN | I | SECRETARY | NA | |
| NIVENS, DONALD EDWARD | I | SROP/CROP | NA | |
| NIVENS, DONALD EDWARD | I | SROP/CROP | NA | |
| NIVENS, DONALD EDWARD | I | SROP/CROP | NA | |
| NIVENS, DONALD EDWARD | I | SROP/CROP | NA | |
| NIVENS, DONALD EDWARD | I | SROP/CROP | NA | |
| ORIELLY, WILLIAM EDWARD | I | RESEARCH DIRECTOR | NA | |
| ORIELLY, WILLIAM EDWARD | I | RESEARCH DIRECTOR | NA | |
| TAPP, JAMES MONROE II | I | COMPLIANCE OFFICER | NA | |
| TAPP, JAMES MONROE II | I | COMPLIANCE OFFICER | NA | |
| TAPP, JAMES MONROE II | I | COMPLIANCE OFFICER | NA | |
| TAPP, JAMES MONROE II | I | COMPLIANCE OFFICER | NA | |
| TAPP, JAMES MONROE II | I | COMPLIANCE OFFICER | NA | |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | NA | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | NA | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | NA | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | NA | Control |
| WACHOVIA CORPORATION | DE | PARENT COMPANY | NA | Control |
| IJL FINANCIAL, INC. | DE | 100% OWNER VOTING RIGHTS | E | Control |
| IJL FINANCIAL, INC. | DE | 100% OWNER VOTING RIGHTS | E | Control |
| IJL FINANCIAL, INC. | DE | 100% OWNER VOTING RIGHTS | E | Control |
| IJL FINANCIAL, INC. | DE | 100% OWNER VOTING RIGHTS | E | Control |
| IJL FINANCIAL, INC. | DE | 100% OWNER VOTING RIGHTS | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| CTFA HOLDINGS, LLC | DE | IJL FINANCIAL, INC. | E | Control |
| CTFA HOLDINGS, LLC | DE | IJL FINANCIAL, INC. | E | Control |
| CTFA HOLDINGS, LLC | DE | IJL FINANCIAL, INC. | E | Control |
| CTFA HOLDINGS, LLC | DE | IJL FINANCIAL, INC. | E | Control |
| CTFA HOLDINGS, LLC | DE | IJL FINANCIAL, INC. | E | Control |
Registrations
Federal
IA
Apr 24, 2002 REGISTERED
Notice Filings (41)
AL AR AZ CA CO CT DC DE FL GA IA IL IN KS KY LA MA MD MI MN MO MS NC NE NH NJ NM NY OH OK PA RI SC TN TX UT VA VT WA WI WV
Address
IJL FINANCIAL CENTER201 NORTH TRYON STREET
CHARLOTTE, NC 28202
USA
Phone: 704-379-7850