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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freePrivate fund adviser · New York, NY
SEC-registered investment adviser · CRD 155563 · SEC 801-73004
At a glance
Capstone Investment Advisors, LLC is an SEC-registered investment adviser based in New York, New York, with $91.5 billion in regulatory assets under management as of its Form ADV filed August 5, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 96th of 4,686 private fund advisers and 285th of 17,210 SEC-registered advisers by assets.
Main office 212-232-1420capstoneco.comLinkedInAs filed on Form ADV
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 29 | $91B | 100% |
| Banking or thrift institutions | 2 | $140M | <1% |
Capstone Investment Advisors, LLC reports 16 private funds with $91B in gross assets: hedge funds (Form ADV Item 7.B).
Capstone Investment Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
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Capstone Investment Advisors, LLC reports $91.5 billion in regulatory assets under management across 31 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 5, 2026.
Capstone Investment Advisors, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
By assets, its largest client types are pooled investment vehicles ($91.4 billion, 29 clients); banking or thrift institutions ($140 million, 2 clients).
Yes. It reports 16 private funds with $91.3 billion in gross assets, including hedge funds.
Capstone Investment Advisors, LLC answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Every figure is Capstone Investment Advisors, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-05), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →