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CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

dba CAPSTONE INVESTMENT FINANCIAL GROUP, LLC · CRD 122575 · Registered Investment Adviser

Manages private funds

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC is a Registered Investment Adviser headquartered in WEBSTER, NY. The firm reports $174,626,885 in regulatory assets under management across 1,015 accounts, and manages 1 private fund(s). It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$170,063,697
Non-discretionary$4,563,188
Total RAUM$174,626,885
Accounts1,015

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 122575. adviserinfo.sec.gov/firm/summary/122575.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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