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CAPSTONE INVESTMENT ADVISORS, LLC

NEW YORK, NY · CRD 155563 · IAPD ↗ · 212-232-1420

$91.53BRegulatory AUM
115Advisory reps
304Employees
0Clients
n/aPlanning clients
16Private funds
5States
2Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
September 2026 — CAPSTONE INVESTMENT ADVISORS, LLC added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
December 2025 — CAPSTONE INVESTMENT ADVISORS, LLC added office(s): 5 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
40
April 2025 — CAPSTONE INVESTMENT ADVISORS, LLC added office(s): 4 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
51
April 2025 — CAPSTONE INVESTMENT ADVISORS, LLC reported RAUM up 32% ($69.25B -> $91.71B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
32
October 2024 — CAPSTONE INVESTMENT ADVISORS, LLC notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
32
August 2024 — CAPSTONE INVESTMENT ADVISORS, LLC notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2024 — CAPSTONE INVESTMENT ADVISORS, LLC shrank from 115 to 108 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
56
April 2024 — CAPSTONE INVESTMENT ADVISORS, LLC reported RAUM up 59% ($43.48B -> $69.25B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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