# CAPITAL ANALYSTS, LLC

CAPITAL ANALYSTS, LLC of FORT WASHINGTON, PA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 162200
- Type: SEC-registered investment adviser
- SEC file number: 801-74614
- Location: 601 OFFICE CENTER DRIVE, SUITE 300, FORT WASHINGTON, PA, 19034-3232
- Phone: 800-242-1421
- Latest filing: 2026-07-20
- Regulatory AUM: $8.8B
- Discretionary AUM: $8.6B
- Non-discretionary AUM: $211.8M
- Clients: 679
- Accounts: 23,420

## Business model

- Compensation: % of AUM, Fixed
- Clients served: High net worth, Pooled vehicles, Pensions, Charities

## Officers, owners & control persons (35)

_Showing 25 of 35 people._

| Name | Role | Location |
| --- | --- | --- |
| Shashi Mehrotra | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| Diane Mulherrin Mccarthy | ELECTED MANAGER, EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER (TREASURER) | — |
| Maureen Ann Mattson | EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER; EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| Susan Mary Oberlies | SENIOR VICE PRESIDENT, CORPORATE COUNSEL AND SECRETARY; SENIOR VICE-PRESIDENT, DEPUTY GENERAL COUNSEL, CORPORATE SECRETARY AND HEAD OF RISK | — |
| Anthony Charles Bueti | EXECUTIVE VICE-PRESIDENT, CHIEF OPERATING OFFICER; SENIOR VICE PRESIDENT, OPERATIONS & SERVICE | — |
| Karen Dougherty Bura | VICE PRESIDENT, CONTROLLER | — |
| Edward Samuel Forst | ELECTED MANAGER | — |
| Kathleen Kinslow Leckey | CEO; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER | — |
| Daniel Sean Alexander | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | — |
| Jason Christopher Estes | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | — |
| Stephen Thomas Mayhew | SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| MURPHY TIMOTHY GERARD | SR. VP, COO | — |
| MARR NORMAN MARK | CHIEF FINANCIAL OFFICER; SR. VP, CFO; TREASURER (+1 more) | — |
| MAYHEW STEPHEN THOMAS | CHIEF INVESTMENT OFFICER; SENIOR VICE PRESIDENT AND CHIEF INVESTMENT OFFICER; SR. VP, INVESTMENT RESEARCH (+2 more) | — |
| FORST THOMAS | CHIEF EXECUTIVE OFFICER; DIRECTOR; DIRECTOR, VICE PRESIDENT (+1 more) | — |
| FORST EDWARD SAMUEL | DIRECTOR; ELECTED MANAGER | — |
| ONEILL KAREN A | DIRECTOR; SECRETARY, DIRECTOR | — |
| FORST ROSEMARIE | DIRECTOR | — |
| KOERICK DEIRDRE BRODERICK | CHIEF COMPLIANCE OFFICER; SR. VP, CCO; VICE PRESIDENT, CCO (+1 more) | — |
| MURPHY THOMAS G | CHIEF OPERATIONS OFFICER; SR. VP, COO; VICE PRESIDENT (+1 more) | — |
| HOUSER DENIS NEIL | ELECTED MANAGER, PRESIDENT, CEO; PRESIDENT AND CHIEF EXECUTIVE OFFICER; PRESIDENT, CHIEF EXECUTIVE OFFICER | — |
| FORST JR EDWARD | DIRECTOR; OWNER | — |
| FORST-PAULUS MARIELLEN | DIRECTOR; DIRECTOR, SECRETARY; SECRETARY | — |
| BURA KAREN DOUGHERTY | ASSISTANT TREASURER; CONTROLLER (ASSISTANT TREASURER); VICE PRESIDENT, CONTROLLER | — |
| O'Leary Terence Thomas Kevin | EXECUTIVE VICE PRESIDENT AND CHIEF REVENUE OFFICER | — |


## Disclosures (12)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-09-14 | regulatory | THE SEC ALLEGED THAT FROM 4/2013 - 3/2016, CAPITAL ANALYSTS DID NOT ADEQUATELY DISCLOSE THAT IT HAD A CONFLICT OF INTEREST WHEN IT INVESTED CAAMS WRAP FEE CLIENTS IN MUTUAL FUND SHARE CLASSES THAT PAID 12B-1 FEES TO ITS AFFILIATED BROKER-DEALER, LINCOLN INVESTMENT PLANNING, LLC ("LINCOLN INVESTMENT"… | Final | $300K |
| — | criminal | — | — | — |


## Branch offices (25)

_Showing 15 of 25 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| MARLTON | NJ | 100 | 856-596-4830 |
| HORSHAM | PA | 78 | 215-885-7115 |
| LUTZ | FL | 51 | 813-269-7100 |
| AMHERST | NY | 46 | 716-837-3335 |
| WOODLAND HILLS | CA | 45 | 818-702-0889 |
| LOMBARD | IL | 40 | 630-620-6100 |
| BRAINTREE | MA | 33 | 617-786-1600 |
| FARMINGTON HILLS | MI | 27 | (248) 351-6000 |
| TALLAHASSEE | FL | 26 | 800-330-6115 |
| ROCHESTER | NY | 21 | 585-272-8470 |
| RENTON | WA | 21 | 425-251-5910 |
| CARMEL | IN | 19 | 317-975-5033 |
| INDEPENDENCE | OH | 16 | 216-741-3113 |
| WORCESTER | MA | 14 | 508-752-8284 |
| PHOENIX | AZ | 14 | 877-469-7377 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/162200/brochure
- Similar advisers: https://search.stillhousedata.com/firm/162200/similar
- Related entities: https://search.stillhousedata.com/firm/162200/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/162200

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.