Capital Trust and Associates LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$13,208,612
Clients
91
Advisors
1
of 2 employees
About
The firm provides investment management, wealth management and financial planning to individuals — including high‑net‑worth clients — as well as pension and corporate clients. It generally manages accounts on a discretionary basis and documents client goals and risk tolerance in a written Investment Policy Statement; the firm’s stated account minimum is $250,000, which may be waived in certain cases.
The firm’s investment process blends fundamental analysis with technical, cyclical and charting techniques and typically constructs portfolios from equities, ETFs, mutual funds, fixed‑income securities, REITs, annuities and third‑party money managers. It frequently uses SEI’s asset allocation models and custodial platform (with optional quarterly rebalancing) and may recommend independent managers and Morningstar investment services as part of portfolio implementation.
A distinctive feature is that the firm’s principal is a licensed insurance agent and may offer commissionable insurance products in addition to advisory services; the brochure discloses this separate compensation arrangement and its potential conflict of interest. The firm is a small, single‑advisor practice managing a modest asset base for roughly 90 clients, does not accept custody of client assets, and generally leaves proxy voting to clients.
Client services
Expertise
Fee options
Financial planning fixed fees depending on complexity; initial deposit $500; typical range $1,000-$15,000.
$0 - $1,000,000: Up to 1.1% $1,000,001 - $3,000,000: Up to 1.0% $3,000,001+: Discounted
Insurance services under a separate commission arrangement; insurance products pay a commission.
$250 per hour for financial planning and consulting.
Account minimum: $250,000 (may be waived) Fee-only: Fee only financial planning, wealth management and investment management services.
Main office
Woodbridge CT
Advisors at this office
1
Most active in
Connecticut
Also doing business as
Capital Trust & Associates · Capital Trust And Associates · Capital Trust And Associates LLC · Coda Capital · Sam Alaoui
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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