Investment adviser · CRD 169859

CAPSTONE EQUITIES MANAGER, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 13, 2019

Regulatory AUM: $363K
Client accounts: 3
Employees: 3
Advisory professionals: 3

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	3	$362,973	100.0%

Filing source

Form ADV 1264770 · Mar 13, 2019 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

5 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CAPSTONE SPECIAL OPPORTUNITIES MASTER FUNDHedge Fund · Last reported Mar 13, 2019$342KGross asset value

Feeder funds

CAPSTONE SPECIAL OPPORTUNITIES FUND LP
CAPSTONE SPECIAL OPPORTUNITIES FUND LTD

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor EISNER AMPNER LLP NEW YORK, New York, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker COWEN AND COMPANY NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

EISNER AMPNER LLP
PCAOB 274

PERSHING LLC
SEC 8-17574

COWEN AND COMPANY
CRD 7616 · SEC 8-22522

Fund details & source

Fund ID: 805-1812176635
Reported beneficial owners: 2
Minimum commitment: $5M

Form ADV 1264770 · Mar 13, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NPB MANAGER FUND, SPC. - SEGREGATED PORTFOLIO 101Hedge Fund · Last reported Mar 31, 2014$41MGross asset value

Fund administrator NORTHERN TRUST GLOBAL FUND SERVICES CAYMAN LIMITED GRAND CAYMAN, Cayman Islands Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor DELOITTE & TOUCHE GRAND CAYMAN, Cayman Islands

Custodian DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States Related to adviser: No

Prime broker DEUTSCHE BANK SECURITIES INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

DEUTSCHE BANK SECURITIES INC.
SEC 8-17822

DEUTSCHE BANK SECURITIES INC.
CRD 2525 · SEC 8-17822

Fund details & source

Fund ID: 805-9680899704
Reported beneficial owners: 18
Minimum commitment: $250K
Form D file number: 021-213527

Form ADV 813124 · Mar 31, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPSTONE EQUITIES MASTER FUNDHedge Fund · Last reported Mar 16, 2016$10.1MGross asset value

Feeder funds

CAPSTONE EQUITIES CAPITAL MANAGEMENT, LP
CAPSTONE EQUITIES CAPITAL MANAGEMENT, LTD

Fund administrator SS&C TECHNOLOGIES, INC. WINDSOR, Connecticut, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG, LLP ROSELAND, New Jersey, United States

Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No

Prime broker CONVERGEX PRIME SERVICES LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PERSHING LLC
SEC 8-17574

CONVERGEX PRIME SERVICES LLC
CRD 140185 · SEC 8-67289

Fund details & source

Fund ID: 805-9428503785
Reported beneficial owners: 15
Minimum commitment: $250K

Form ADV 973749 · Mar 16, 2016 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPSTONE EQUITIES CAPITAL MANAGEMENT, LPHedge Fund · Last reported Mar 16, 2015$4.52MGross asset value

Form D fundraising filings

Capstone Equities Capital Management, LP

Fund administrator FINANCIAL SOLUTIONS SERVICES SAGAMORE BEACH, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP ROSELAND, New Jersey, United States

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

J.P. MORGAN CLEARING CORP.
SEC 8-43724

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-2757686182
Reported beneficial owners: 17
Minimum commitment: $250K
Form D file number: 021-207435

Form ADV 884026 · Mar 16, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CAPSTONE EQUITIES FOCUSED OPPORTUNITY FUND I, LPHedge Fund · Last reported Mar 16, 2015$376KGross asset value

Fund administrator FINANCIAL SOLUTIONS SERVICES SAGAMORE BEACH, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor SANDLER & COMPANY, P.C. NEEDHAM, Massachusetts, United States

Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No

Prime broker WELLS FARGO PRIME SERVICES, LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

J.P. MORGAN CLEARING CORP.
SEC 8-43724

WELLS FARGO PRIME SERVICES, LLC
CRD 133068 · SEC 8-66677

Fund details & source

Fund ID: 805-5938350933
Reported beneficial owners: 3
Minimum commitment: $250K

Form ADV 884026 · Mar 16, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 13, 2019. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

545 FIFTH AVENUE, SUITE 1209
NEW YORK, NY, 10017, United States

CRD 169859

Filing source

Form ADV 1264770 · Mar 13, 2019 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.