|
⚲
|
| Capstone Investment Financial Group LLC
✚
| |
|---|---|
| CRD # | 122575 |
| SEC # | 801-67699 |
| CIK # | 0001558432, 0001808129 |
| AUM | $137.0 MM (2024-05-08) |
| Employees | 6 (67% Investors, 0% Brokers) |
| Phone | 719-477-9883 |
| Address | 115 West Salori Court Webster, NY 14580 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] [Facebook] |
| Total AUM ($MM) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| HF | Rocky Mountain Capital Fund LP | 2015-03-06 | 2.4 |
| AUM Breakdown | Accounts | AUM ($MM) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 355 | 63.6 |
| (b) Individuals (high net worth individuals) | 40 | 71.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 2.4 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 979 | 137.0 |
| By Discretionary | ||
| Discretionary | 971 | 132.6 |
| Non-Discretionary | 8 | 4.4 |
| Total | 979 | 137.0 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 137.0 | |
| Total | 979 | 137.0 |
| EDGAR Form | CIK | 2011 - 2024 |
|---|---|---|
| 10-K | [0001558432] | |
| 10-Q | [0001558432] | |
| 3 | [0001558432] | |
| 4 | [0001558432] | |
| 5 | [0001558432] | |
| 8-K | [0001558432] | |
| D | [0001558432] | |
| SC 13D | [0001558432] | |
| 13F-HR | [0001808129] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Capstone Financial Group Inc | Twinlab Consolidated Holdings Inc | [2014-12-17] |
| Schneider George Leon | Capstone Financial Group Inc | [2013-09-17] |
| Pastor Darin Richard | Capstone Financial Group Inc | [2013-09-17] |
| Form 3/4/5 Subject | 2011 - 2024 |
|---|---|
| Capstone Financial Group Inc | |
| Pastor Darin Richard | |
| Pastor Tracy Anne | |
| Johnson Halford W | |
| Schneider George Leon | |
| Twinlab Consolidated Holdings Inc | |
| Faught Ryan | |
| Lane Matthew A |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Equilibrium Ventures LLC
✚
|
NY | 0.1 |
|
SCG Asset Management LLC
✚
|
IL | 0.1 |
|
Brandywine Asset Management Inc
✚
|
PA | 0.1 |
|
Schear Investment Advisers LLC
✚
|
OH | 0.1 |
|
Oberon Asset Management LLC
✚
|
NY | 0.1 |
|
SVRN Asset Management LLC
✚
|
TX | 0.1 |
|
US Wealth Group LLC
✚
|
NY | 0.1 |
|
Buckley Capital Advisors LLC
✚
|
FL | 0.1 |
|
TR Capital Management LLC
✚
|
NY | 0.1 |
|
Dynamic Wealth Strategies LLC
✚
|
CA | 0.1 |