# CAPITAL BANK AND TRUST COMPANY

CAPITAL BANK AND TRUST COMPANY of IRVINE, CA is an SEC-registered investment adviser.

## Registration

- CRD: 170017
- Type: SEC-registered investment adviser
- SEC file number: 801-79234
- Location: 6455 IRVINE CENTER DRIVE, IRVINE, CA, 92618-4518
- Phone: (949) 975-5000
- Latest filing: 2026-05-29
- Regulatory AUM: $139.3B
- Discretionary AUM: $139.3B
- Clients: 121
- Accounts: 579

## Business model

- Compensation: % of AUM
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (29)

_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 | — |


## Disclosures (1)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/170017/brochure
- Similar advisers: https://search.stillhousedata.com/firm/170017/similar
- Related entities: https://search.stillhousedata.com/firm/170017/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/170017

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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.