AdvisorGrade
Fee-basedFiduciaryNationalInternational

Capstone Investment Advisors, LLC

Capstone Investment Advisors, LLC is a fee-based, SEC-registered investment adviser in New York, New York, registered with the SEC since 2012, managing approximately $91.5B. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

View official SEC record ↗Firm website ↗Try our matching tool →

Source: SEC Form ADV · CRD #155563 · SEC #801-73004 · SEC-registered since 2012 (14 yrs) · Last filing data January 1, 2026

AUM
$91.5B

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
304

115 advisers

Assets per adviser

$796Mper adviser

A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm runs leaner (more assets per adviser).

From globalvolatilitysummit.com

Visit site ↗
Screenshot of the Capstone Investment Advisors, LLC website

Overview

AI-generated summary

Capstone Investment Advisors, LLC is a fee-based, SEC-registered investment adviser based in New York, New York. It reported approximately $91.5B in regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
155563
SEC #
801-73004
Headquarters
New York, NY
Employees
304

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Assets under management

2026$91.5B
Assets under management by year
YearReported AUM
2026$91.5B

Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.

Disclosures

  • 2026 · Other regulatory agency disclosure

    Capstone Investment Advisors, LLC reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • 2026 · Self-regulatory organization disclosure

    Capstone Investment Advisors, LLC reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Capstone Investment Advisors, LLC a fiduciary?+

Yes. Capstone Investment Advisors, LLC is an SEC-registered investment adviser (CRD #155563), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Capstone Investment Advisors, LLC compensated?+

Capstone Investment Advisors, LLC reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Capstone Investment Advisors, LLC manage?+

Capstone Investment Advisors, LLC reported approximately $91.5B in regulatory assets under management as of its most recent Form ADV filing.

Does Capstone Investment Advisors, LLC have any disclosures?+

Capstone Investment Advisors, LLC reported one or more disclosure events on Form ADV Item 11 (other regulatory agency disclosure, self-regulatory organization disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Capstone Investment Advisors, LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

·
← Back to directory