CAPITAL BANK AND TRUST COMPANY of IRVINE, CA is an SEC-registered investment adviser (CRD 170017). Regulatory assets under management: $139.3B.
Compensation: % of AUM.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Paul R Allen | DIRECTOR | Enid, OK |
| Naseem Zarifeh Sahar Nixon | CHIEF COMPLIANCE OFFICER | — |
| Susi Michele Silverman | DIRECTOR; TREASURER & CONTROLLER | — |
| Matthew Edwin Knihtila | CHIEF COMPLIANCE OFFICER | — |
| Kevin Michael Saks | DIRECTOR AND PRESIDENT | — |
| Kristine Mie Nishiyama | DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL | — |
| Kevin Thomas Burke | DIRECTOR | — |
| Janet Wesley Lamkin | DIRECTOR | — |
| Michelle C Kerrick | DIRECTOR | — |
| Sarah Delores Berendt | TREASURER AND CONTROLLER | — |
| Carmelo Spinella | DIRECTOR | — |
| BURKE WALTER THOMAS | DIRECTOR | — |
| DOWNER MICHAEL JOSEF | DIRECTOR & CHAIRMAN | — |
| SILVERMAN SUSI MICHELE | CONTROLLER; TREASURER; TREASURER & CONTROLLER | — |
| SPINELLA CARMELO | DIRECTOR | — |
| CASSIN DENISE MARILYN | PRESIDENT & DIRECTOR | — |
| SCOFIELD JANE MARIE | CHIEF COMPLIANCE OFFICER | — |
| ZUKOR JAMES ROTH | DIRECTOR | — |
| NISHIYAMA KRISTINE MIE | DIRECTOR, CHAIRMAN, SENIOR VICE PRESIDENT AND GENERAL COUNSEL; DIRECTOR, CHAIR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL; GENERAL COUNSEL (+1 more) | — |
| Codon Dennis Patrick Roy | DIRECTOR | — |
| EDWARDS LLOYD GEORGE | DIRECTOR & PRESIDENT | — |
| MULLER LAURA DOCLAR | DIRECTOR AND PRESIDENT; PRESIDENT | — |
| POON HERBERT YUNGTAI | CHIEF COMPLIANCE OFFICER | — |
| ZERGES JESSICA MORAN | CHIEF COMPLIANCE OFFICER | — |
| SAKS KEVIN MICHAEL | DIRECTOR AND PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-08 | regulatory | THE SFSA FOUND THAT THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), DID NOT SUBMIT CERTAIN NOTIFICATIONS OF CHANGES IN MAJOR SHAREHOLDINGS FOR SHARES HELD IN A CANADIAN COMPANY, WHOSE COMMON SHARES ARE LISTED ON THE TORONTO STOCK EXCHANGE AND NASDAQ STOCKHOLM EXC… | Final | $325K |