Capital One Securities, Inc.
$201M reported client assets across 1 advisory firms in FY2018 annual amendments
Reported client assets over time
$201M
$202M
2017
2018
Same-firm comparison: 1 firms that reported Capital One Securities, Inc. in both FY2017 and FY2018 annual amendments (ADV Item 5.K.(3)). Fiscal years come directly from the SEC filing-type table; filing dates are not used as a year-end proxy.
| Advisory firm | RAUM at custodian | Firm total AUM | Share | As of |
|---|---|---|---|---|
| Orleans Capital Management Corp | $201M | $1.4B | 13.9% | 03/29/2019 |
From Form ADV Schedule D 5.K.(3): custodians named at the 10%-of-SMA-assets threshold, with reported dollar amounts. "Share" is reported amount as a share of the firm's total regulatory AUM.