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CAPRICORN INVESTMENT GROUP LLC

NEW YORK, NY · CRD 147417 · IAPD ↗ · 646-289-3030

$18.85BRegulatory AUM
16Advisory reps
46Employees
0Clients
n/aPlanning clients
22Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

50
April 2026 — CAPRICORN INVESTMENT GROUP LLC moved its main office from PALO ALTO, CA to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
70
April 2026 — CAPRICORN INVESTMENT GROUP LLC reported RAUM up 51% ($12.47B -> $18.85B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
74
April 2026 — CAPRICORN INVESTMENT GROUP LLC grew from 12 to 16 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
March 2026 — CAPRICORN INVESTMENT GROUP LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2025 — CAPRICORN INVESTMENT GROUP LLC reported RAUM up 33% ($9.40B -> $12.47B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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