Captrust Financial Advisors, LLC (Charlotte)


Captrust Financial Advisors, LLC is a large advisory firm based in Charlotte. It manages $1.05 billion of regulatory assets for 2,613 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 40 other states.

Captrust Financial Advisors provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Captrust Financial Advisors: assets under management

The assets under management (AUM) of Captrust Financial Advisors, LLC is $1.05 billion. The firm's AUM has grown by 18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $312.79 million in discretionary accounts and $736.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $280.53 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $491.86 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Captrust Financial Advisors, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Captrust Financial Advisors, LLC

John Cooper Granzow has been acting as President since 1 Oct 1999. Donald Edward Nivens joined the executive team most recently as the Crop.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Edwin Archibald Jr Dalrymple Ceo 1 Jul 1996 Other 728992
Michael Dean Hearn Secretary 1 Jul 1996 Other 835376
Frank Graves Iii Dickey Treasurer 1 Jul 1996 Other 2441260
William Edward Orielly Research director 1 Dec 1996 Other 2272757
James Christopher Boone Cfo, coo 1 Jun 1998 Other 1308382
William Freeman Barber Srop 1 Mar 1999 Other 12174
Wachovia Corporation Parent company 1 Apr 1999 Other 56-1473727
Inc. Ijl Financial 100% owner voting rights 1 Apr 1999 75% - 100% 56-1984027
John Cooper Granzow President 1 Oct 1999 Other 1410381
Donald Edward Nivens Crop 1 Jun 2000 Other 2786787
James Monroe Ii Tapp Compliance officer 1 Jun 2000 Other 2249163

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Llc Ctfa Holdings Owner 1 Apr 1999 75% - 100% 56-2135782

Based in Charlotte

The principal office where Captrust Financial Advisors, LLC performs its advisory services is located at Ijl Financial Center, Charlotte, NC 28202, which is also the mailing address of the firm. An additional office of the firm is in West Palm Beach, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 704-379-7850 or by fax 704-379-9076. The normal business hours are 8:00 - 5:00 est on Monday - Friday. You can find more information about the New York firm at www.captrust.com.