AdvisorRanked
92
Clean

CAPSTONE INVESTMENT ADVISORS, LLC

7 WORLD TRADE CENTER, NEW YORK, NY 10007
Fiduciaryfee-onlySEC Registered
212-232-1420 HTTP://WWW.GLOBALVOLATILITYSUMMIT.COM/ CRD #155563
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$91.5B
Assets Managed
115
Clients
304
Employees
14
Years Active
since 2012

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46135. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46135

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 0.87 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameCAPSTONE INVESTMENT ADVISORS, LLC
CRD Number#155563
SEC RegisteredYes
Registration Date2012-01-23
States RegisteredNY
Assets Under Management$91.5B
Number of Clients115
Employees304
Compensation Typefee-only
Last ADV Filing46135

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Frequently Asked Questions

Is CAPSTONE INVESTMENT ADVISORS, LLC a fiduciary?

Yes. CAPSTONE INVESTMENT ADVISORS, LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does CAPSTONE INVESTMENT ADVISORS, LLC charge clients?

CAPSTONE INVESTMENT ADVISORS, LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does CAPSTONE INVESTMENT ADVISORS, LLC have any complaints?

Yes. CAPSTONE INVESTMENT ADVISORS, LLC has 1 complaint(s) on record. Their complaint ratio is 0.87 per 100 clients (industry average: ~0.15).

How does CAPSTONE INVESTMENT ADVISORS, LLC compare to other advisors in NEW YORK?

CAPSTONE INVESTMENT ADVISORS, LLC has a Red Flag Score of 92/100. There are 1970 registered advisory firms in NEW YORK. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46135. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.