Investment adviser · CRD 122575

CAPSTONE INVESTMENT FINANCIAL GROUP, LLC

Investment adviser filing (IA)

WEBSTER, NY, United States · Form ADV filed Sep 24, 2026

Regulatory AUM: $175M
Client accounts: 1,015
Employees: 6
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
Individuals	357	$90,832,248	52.0%
High-net-worth individuals	30	$78,950,501	45.2%
Pooled investment vehicles	1	$3,427,695	2.0%
Charities	4	$1,416,441	0.8%

Filing source

Form ADV 2134555 · Sep 24, 2026 · 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

1 Private fund

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

ROCKY MOUNTAIN CAPITAL FUND, L.P.Hedge Fund · Last reported Sep 24, 2026$2.99MGross asset value

Fund administrator AUTOMATIC FUND TRANSFER SERVICES SEATTLE, Washington, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Prime broker CHARLES SCHWAB & CO., INC. WESTLAKE, Texas, United States

Prime broker NGC FINANCIAL, LLC SAN FRANCISCO, California, United States

Provider details

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

CHARLES SCHWAB & CO., INC.
SEC 8-16514

CHARLES SCHWAB & CO., INC.
CRD 5393 · SEC 8-16514

NGC FINANCIAL, LLC
CRD 145082 · SEC 8-67699

Fund details & source

Fund ID: 805-5103949673
Reported beneficial owners: 14
Minimum commitment: $100K

Form ADV 2134555 · Sep 24, 2026 · 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: Sep 24, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Hourly · Fixed · Performance-based

Principal office

115 WEST SALORI COURT
WEBSTER, NY, 14580, United States

CRD 122575

Filing source

Form ADV 2134555 · Sep 24, 2026 · 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.