SEC-Registered Investment Adviser
Capstone Investment Advisors, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated August 5, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- January 23, 2012
- Principal office
- 7 World Trade Center, 250 Greenwich Street 32nd FL, New York, NY 10007
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Umbrella registration
- Yes, 3 relying advisers
- Other offices
- 7
Scale
- Regulatory AUM
- $91.5B
- Attributable to non-US clients
- $85.2B
- Accounts
- 31
- Clients
- 0
- Employees
- 304, 115 in advisory roles
- Private funds advised
- 16
- Private fund gross assets
- $91.3B
- Fund types
- 16 hedge funds
- Funds with Form D records
- 15 issuers in AltStreet's ledger, $11.4B reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management, fixed fees and performance-based fees
- Client types
- banking or thrift institutions (2); pooled investment vehicles (29)
- Also engaged as
- commodity pool operator or commodity trading advisor
- Related persons include
- a commodity pool operator or commodity trading advisor and a sponsor, general partner or managing member of pooled investment vehicles
Form ADV Item 11 disclosures
The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.
- other regulator finding of a violation (Item 11D(2))
- self-regulatory organization finding of a violation (Item 11E(2))
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Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.