R.T. Jones Capital Equities Management Inc.
- Regulatory AUM
- $352M
- Discretionary
- $352M
- Clients
- 4,108
- Avg AUM / client
- $85.6K
- Accounts
- 4,108
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Jul 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4,063 | $241M | 68.5% |
| High net worth individuals | 41 | $58.3M | 16.6% |
| Pooled investment vehicles (non-investment companies) | 1 | $5.8M | 1.65% |
| Pension and profit sharing plans | 2 | $46.7M | 13.3% |
| Charitable organizations | 1 | $74.5K | 0.02% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Terrence Jones | Chairman, Chief Executive Officer & Chief Compliance Officer | Nov 1987 (39y) | 75% or more | |
| Stephen Scott Davis | Chief Technology Innovation Officer | Apr 2009 (17y) | Less than 5% | |
| Spencer Colin Seggebruch | Chief Investment Officer | Dec 2013 (13y) | Less than 5% | |
| Jane Ann Davidson | Registered representative | Mar 2011 (15y) | ||
| Robert Terrence Jones | Registered representative | Feb 2013 (13y) | ||
| Jonathan Bradley Seiter | Registered representative | Mar 2022 (4y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| R.T. Jones, F.S. Ladners & Associates, Inc. | Owner | May 2004 | A | 75% or more |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/01/2026 | 952 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "ORDER") WAS ENTERED AGAINST R.T. JONES BY THE SEC. THE ORDER FOUND THAT R.T. JONES FAILED TO ADOPT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROTECT CUSTOMER RECORDS AND INFORMATION, IN VIOLATION OF RULE 30(A) OF REGULATION S-P. IN JULY 2013, R.T. JONES' WEB SERVER WAS ATTACKED BY AN INTRUDER WHO GAINED ACCESS TO THE DATA ON THE SERVER, AND AS A RESULT OF THE ATTACK THE PERSONAL INFORMATION OF R.T. JONES'S CLIENTS WAS RENDERED VULNERABLE TO THEFT. TO DATE, R.T. JONES HAS NOT LEARNED OF ANY INFORMATION INDICATING THAT A CLIENT HAS SUFFERED ANY FINANCIAL HARM AS A RESULT OF THE CYBER ATTACK. R.T. JONES WAS ORDERED TO PAY A CIVIL MONEY PENALTY TO THE SEC. TO MITIGATE FUTURE RISK OF CYBER THREATS, R.T. JONES HAS APPOINTED AN INFORMATION SECURITY MANAGER AND HAS ADOPTED AND IMPLEMENTED A WRITTEN INFORMATION SECURITY POLICY, AMONG OTHER MEASURES. Status: Final Sanction Detail: AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "ORDER") WAS ENTERED AGAINST R.T. JONES BY THE SEC. THE ORDER FOUND THAT R.T. JONES FAILED TO ADOPT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROTECT CUSTOMER RECORDS AND INFORMATION, IN VIOLATION OF RULE 30(A) OF REGULATION S-P. IN JULY 2013, R.T. JONES' WEB SERVER WAS ATTACKED BY AN INTRUDER WHO GAINED ACCESS TO THE DATA ON THE SERVER, AND AS A RESULT OF THE ATTACK THE PERSONAL INFORMATION OF R.T. JONES'S CLIENTS WAS RENDERED VULNERABLE TO THEFT. TO DATE, R.T. JONES HAS NOT LEARNED OF ANY INFORMATION INDICATING THAT A CLIENT HAS SUFFERED ANY FINANCIAL HARM AS A RESULT OF THE CYBER ATTACK. R.T. JONES WAS ORDERED TO PAY A CIVIL MONEY PENALTY TO THE SEC. TO MITIGATE FUTURE RISK OF CYBER THREATS, R.T. JONES HAS APPOINTED AN INFORMATION SECURITY MANAGER AND HAS ADOPTED AND IMPLEMENTED A WRITTEN INFORMATION SECURITY POLICY, AMONG OTHER MEASURES. Summary: AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "ORDER") WAS ENTERED AGAINST R.T. JONES BY THE SEC. THE ORDER FOUND THAT R.T. JONES FAILED TO ADOPT WRITTEN POLICIES AND PROCEDURES REASONABLY DESIGNED TO PROTECT CUSTOMER RECORDS AND INFORMATION, IN VIOLATION OF RULE 30(A) OF REGULATION S-P. IN JULY 2013, R.T. JONES' WEB SERVER WAS ATTACKED BY AN INTRUDER WHO GAINED ACCESS TO THE DATA ON THE SERVER, AND AS A RESULT OF THE ATTACK THE PERSONAL INFORMATION OF R.T. JONES'S CLIENTS WAS RENDERED VULNERABLE TO THEFT. TO DATE, R.T. JONES HAS NOT LEARNED OF ANY INFORMATION INDICATING THAT A CLIENT HAS SUFFERED ANY FINANCIAL HARM AS A RESULT OF THE CYBER ATTACK. R.T. JONES WAS ORDERED TO PAY A CIVIL MONEY PENALTY TO THE SEC. TO MITIGATE FUTURE RISK OF CYBER THREATS, R.T. JONES HAS APPOINTED AN INFORMATION SECURITY MANAGER AND HAS ADOPTED AND IMPLEMENTED A WRITTEN INFORMATION SECURITY POLICY, AMONG OTHER MEASURES.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Educational seminars/workshops
Custody
Reported custodians
- Oneamerica Securities, Inc. $274M (78% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 01, 2026.
View current Form ADV (SEC/IAPD) ↗