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CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

WEBSTER, NY · CRD 122575 · IAPD ↗ · 719-477-9883

$174.6MRegulatory AUM
3Advisory reps
6Employees
0Clients
26-50Planning clients
1Private funds
7States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
March 2026 — CAPSTONE INVESTMENT FINANCIAL GROUP, LLC reported RAUM up 28% ($136.6M -> $174.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
42
April 2024 — CAPSTONE INVESTMENT FINANCIAL GROUP, LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
60
April 2024 — CAPSTONE INVESTMENT FINANCIAL GROUP, LLC reported RAUM up 26% ($108.6M -> $137.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
61
April 2024 — CAPSTONE INVESTMENT FINANCIAL GROUP, LLC reports 26-50 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.