Capstone Investment Financial Group, LLC

RIASEC Registered

Total AUM

$175M

Discretionary

$170M

97% of AUM

Avg account

$172K

Accounts

1,015

Employees

Advisory reps

Firm details

Headquarters: Webster, New York
CRD number: 122575
Registered since: April 17, 2007
Website: capstoneinvest.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees
Client types: Individuals52.02%
HNWI45.21%
Pooled Investment Vehicles1.96%
Charitable Organizations0.81%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Capstone Investment Financial Group, LLC is an independent registered investment adviser formed in 2007 and organized as an LLC with individual ownership. The firm serves both individual and family clients as well as institutional accounts, offering financial planning and portfolio management for individuals, small businesses, and pooled investment vehicles. Capstone uses a mix of fee arrangements including a percentage of assets under management, hourly and fixed fees, and performance-based fees. The firm identifies as an active ESG investor. Capstone is not structured as a multi-state adviser or a pension consultant, and it does not present itself as a third-party capital allocator. It maintains an industry affiliation as a real estate broker in addition to its advisory activities.