Capwealth Advisors, LLC (Franklin)

Name: Capwealth Advisors, LLC
Address: 3000 Meridian Blvd, Franklin, TN, 37067 6251
Telephone: 615-778-0740

Capwealth Advisors, LLC is a large advisory firm based in Franklin. It manages $1.02 billion of regulatory assets for 1,971 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Alabama, California, Florida, and 6 other states.

Capwealth Advisors provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Capwealth Advisors: assets under management

The assets under management (AUM) of Capwealth Advisors, LLC is $1.02 billion. The firm's AUM has grown by 175% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $987.77 million in discretionary accounts and $29.59 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $525.41 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $325.14 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 68% of the total AUM. The second-largest asset type is investment and business development companies, which make up 16% of the firm’s portfolio. Investments in cash and cash equivalents form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capwealth Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Capwealth Advisors serves?

The firm provides services to individuals, charitable organizations, and high net worth individuals. The largest group of clients of Capwealth Advisors is high net worth individuals with 200 clients and $822.67 million of assets under management. Among the 10 most similar advisory firms, Capwealth Advisors has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.02 billion for 602 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Capwealth Advisors doesn't advise any private funds.

Careers at Capwealth Advisors, LLC

The company employs 15 people that are either part- or full-time employees. 53 percent of the employees work as investment advisers or researchers. 9 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Timothy Jude Pagliara	Managing member, ceo	1 Oct 2008	50% - 75%	733637
Timothy Roy Murphy	Member	1 Oct 2008	Other	1549863
Charles Mark Willoughby	Member	1 Oct 2008	Other	2330009
Raymond Scott Roland	Coo, chief compliance officer	1 Dec 2008	Other	4267751
Timothy Jude Pagliara	Managing member, chairman, chief executive officer	1 Jun 2010	75% - 100%	733637
Raymond Scott Roland	President, chief operating officer, chief compliance officer	1 Jun 2010	Other	4267751
Phoebe Jones Venable	Managing principal	1 Apr 2011	Other	4627185
Timothy Jude Pagliara	Chairman, chief executive officer	1 Jan 2013	Other	733637
Raymond Scott Roland	Chief financial officer, chief compliance officer	1 Jan 2013	Other	4267751
Phoebe Jones Venable	President, chief operating officer	1 Jan 2013	Other	4627185
Llc Capwealth Group	Partnership	1 Jun 2014	75% - 100%	47-1129897

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Timothy Jude Pagliara	Member	1 Jun 2014	50% - 75%	733637

Based in Franklin

The principal office where Capwealth Advisors, LLC performs its advisory services is located at 3000 Meridian Blvd, Franklin, TN 37067 6251, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 615-778-0740 or by fax 615-778-0750. The normal business hours are 8:00am - 4:30pm on Monday - Friday. You can find more information about the New York firm at capwealthadvisors.com.