Capital Bank & Trust Company
custodian17 known aliases resolved via the canonical alias map
Market position · 2024
Plans served26-4 YoYRank #679 of mapped providers
Assets under administration$28.3B0.0%Market share · rank #477
Fees received$3MMedian $1,273/planSum across Schedule C direct + indirect
Net wins YoY-35 won · 8 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical Capital Bank & Trust Company plan look like?
Service mix · median fees per plan
Count of plans where Capital Bank & Trust Company ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Shareholder servicing fees; Recordkeeping fees; Investment management; Recordkeeping and information management (computing, tabulating, data processing, etc.)Code 15 | 10 | $863 | |
Participant loan processing; Investment management; Account maintenance fees; Distribution (12b-1) feesCode 28 | 3 | $142,241 | |
Custodial (other than securities); Float revenueCode 18 | 2 | $0 | |
Trustee (bank, trust company, or similar financial institution)Code 21 | 2 | $0 | |
Investment advisory (plan); Direct payment from the planCode 27 | 2 | $27,546 | |
Recordkeeping feesCode 64 | 2 | $1,686 | |
ActuarialCode 11 | 1 | $7,798 | |
Recordkeeping fees; Participant loan processingCode 37 | 1 | $750 |
Competitor overlap
Percent of Capital Bank & Trust Company's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under Capital Bank & Trust Company.
| Sponsor | From | Assets |
|---|---|---|
BOARD OF TRUSTEES OF THE I.A.M. NATIONAL PENSION FUNDDC · 516031295-002 | Mittera Group | $15.0B |
CASCADE HEALTHOR · 930421470-001 | Dana Investment Advisors | $28M |
LIVING RESOURCES CORPORATIONNY · 141564208-004 | (new plan) | $11M |
COMMUNITY SPECIALISTS, INC.IL · 363964739-001 | (new plan) | $7M |
M. DAVIS MANAGEMENT CO. INC.IL · 371380504-001 | (new plan) | $2M |
Plans lost in 2024
Appeared last year under Capital Bank & Trust Company; not this year.
| Sponsor | To | Assets |
|---|---|---|
SUTTER HEALTHCA · 942788907-333 | Capital Guardian Trust Company | $5.9B |
SUN PACIFIC SHIPPERS, L.P.CA · 770570025-002 | Miller Kaplan Arase & Co LLP | $70M |
TOWER LOAN OF MISSISSIPPI, LLCMS · 455079659-001 | Waverly Advisors LLC | $59M |
MIAMI NATION ENTERPRISESOK · 203030737-001 | HUB Investment Partners, LLC | $14M |
HELIX TRAFFIC SOLUTIONS, LLCTN · 822510008-001 | John Hancock | $11M |
VALLEY COMMUNITY COUNSELING SERVICES, INC.CA · 942468972-001 | Capital Group | $6M |
COMMUNITY BANKWA · 930436426-001 | Raymond James & Associates, Inc. | $6M |
SEDA NORTH AMERICA INC.WI · 800654768-001 | Cetera Investment Advisers LLC | $5M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
BOARD OF TRUSTEES OF THE I.A.M. NATIONAL PENSION FUNDDC · 516031295-002 | $15.0B | 311,750 | $1M | 1y | - |
NATIONAL RURAL ELECTRIC COOPERATIVE ASSOCIATIONVA · 530116145-333 | $11.5B | 75,823 | $1M | 4y | - |
VERTIV GROUP CORPORATIONOH · 813496944-001 | $1.1B | 6,105 | $105,865 | 5y | 1 |
MOOG INC.NY · 160757636-001 | $473M | 2,288 | $142,241 | 4y | - |
CENTRIS FEDERAL CREDIT UNIONNE · 470376036-001 | $34M | 194 | $30,607 | 1y | - |
CASCADE HEALTHOR · 930421470-001 | $28M | 356 | $7,798 | 4y | - |
AVALON & TAHOE MFG., INC.MI · 382385785-001 | $18M | 574 | $0 | 6y | 1 |
VERSATEX BUIDLING PRODUCTS, LLCPA · 200073199-001 | $18M | 244 | $57,691 | 8y | 1 |
SCHRAAD & ASSOCIATES-SALES/MARKETING, INC.OK · 471568101-001 | $12M | 185 | $312 | 5y | - |
PRUETT'S FOOD, INC.OK · 731028643-001 | $12M | 560 | $1,050 | 5y | - |
Flag exposure
88.5%Market: 89.1%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (17)
Raw Schedule C names collapsed into Capital Bank & Trust Company.
- BALLEW WEALTH MANAGEMENT
- BALLEWRUSSELL
- BALLIE GIFFORD
- BALLIE GIFFORD & CO.
- BALLINGER COMPANY
- BALLON CLEANING CORP
- CAPITAL BANK & TRUST
- CAPITAL BANK & TRUST CO
- CAPITAL BANK & TRUST CO.
- CAPITAL BANK & TRUST COMPANY
- CAPITAL BANK & TRUST-AMERICAN FUNDS
- CAPITAL BANK & TRUST/AMERICAN FUNDS
- CAPITAL BANK AND TRUST
- CAPITAL BANK AND TRUST CO
- CAPITAL BANK AND TRUST CO.
- CAPITAL BANK AND TRUST COMPANY
- CAPITAL BANK TRUST
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for Capital Bank & Trust Company's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 0 | 0.00% | 7.76% | -7.76 pp |
| Fidelity bond gap | 2 | 7.69% | 26.94% | -19.25 pp |
| Late contributions | 7 | 26.92% | 1.71% | +25.21 pp |
| Failed to provide benefit | 0 | 0.00% | 0.14% | -0.14 pp |
| Corrective distributions | 3 | 11.54% | 1.76% | +9.78 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with Capital Bank & Trust Company. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent
Frequent partners by role
Who else shows up on Capital Bank & Trust Company's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Great Lakes Pension Associates | 2 | 7.7% |
| OneDigital | 2 | 7.7% |
| Acadian Asset Management | 1 | 3.9% |
| American Century | 1 | 3.9% |
| American Realty Advisors | 1 | 3.9% |
| The Angell Pension Group Inc. | 1 | 3.9% |
| Aon | 1 | 3.9% |
| Apollo Global Management | 1 | 3.9% |
| Arrowstreet Capital | 1 | 3.9% |
| Aston Carter Inc. | 1 | 3.9% |