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CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
CRD 122575File 801-67699
APPROVED
Retail clients
Filing as of Sep 24, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$174.6M
Bottom 25% of cohort (national)
Discretionary AUM
$170.1M
Non-discretionary $4.6M
Clients
392
1,015 accounts
Employees
6
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Apr 17, 2007
- Principal office
- 115 WEST SALORI COURT, WEBSTER, NY, 14580
- Phone
- 719-477-9883
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $174.6M
- Discretionary AUM
- $170.1M
- Non-discretionary AUM
- $4.6M
- Discretionary accounts
- 1,009
- Non-discretionary accounts
- 6
- Total accounts
- 1,015
- AUM per client
- $445K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | 4 | $1.4M |
| High net worth individuals | 30 | $79.0M |
| Pooled investment vehicles | 1 | $3.4M |
| Individuals (other than high net worth individuals) | 357 | $90.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 5 | 6 | increased by1 |
| Mar 1, 2026 | Clients | 387 | 392 | increased by5 |
| Mar 1, 2026 | AUM | $136,583,840 | $174,626,885 | increased by$38,043,045 |
| Mar 1, 2026 | Accounts | 881 | 1,015 | increased by134 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 363 | 387 | increased by24 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $119,195,847 | $136,583,840 | increased by$17,387,993 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 905 | 881 | decreased by24 |
| Apr 1, 2022 | Clients | 361 | 363 | increased by2 |
| Apr 1, 2022 | AUM | $102,758,873 | $119,195,847 | increased by$16,436,974 |
| Apr 1, 2022 | Accounts | 361 | 905 | increased by544 |
| May 1, 2021 | Clients | 379 | 361 | decreased by18 |
| May 1, 2021 | AUM | $99,330,371 | $102,758,873 | increased by$3,428,502 |
| May 1, 2021 | Accounts | 379 | 361 | decreased by18 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPSTONE INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPSTONE INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.