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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

KAPSTREAM CAPITAL

KAPSTREAM CAPITAL PTY LIMITED, CRD 167016

SYDNEY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b271cef5-fffb-0e66-5b79-3a3286114a6e

Data as of Sep 1, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 0
Observed: May 22, 2013 to Sep 1, 2015
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6.7BItem 5.F on the latest filing (2015-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.7B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 10
Accounts: 18
SEC number: 801-78125
CRD: 167016
Filings on the tape: 4
First filed: May 22, 2013
Latest filed: Sep 1, 2015
Organised: Other (specify)

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
2DORAS PTY LTD	Shareholder	B	yes	01/2011	May 22, 2013	Sep 1, 2015
GOLDMAN, STEPHEN, SCOTT	Trustee	E	yes	01/2011	May 22, 2013	Sep 1, 2015
GOLDMAN, STEPHEN, SCOTT	Director	A	yes	07/2015	May 22, 2013	Sep 1, 2015
Janus	MEMBER - CLASS B	E	yes	03/2002	Sep 1, 2015	Sep 1, 2015
JANUS CAPITAL GROUP INC.	Member	E	yes	01/2003	Sep 1, 2015	Sep 1, 2015
JANUS HOLDINGS LLC	MEMBER - CLASS A	E	yes	03/2002	Sep 1, 2015	Sep 1, 2015
JANUS INTERNATIONAL HOLDING LLC	Shareholder	D	yes	07/2015	Sep 1, 2015	Sep 1, 2015
KOEPFGEN, BRUCE, LEWIS	Director	Na	yes	07/2015	Sep 1, 2015	Sep 1, 2015
KP4 PTY LTD	Shareholder	C	yes	01/2007	May 22, 2013	Sep 1, 2015
MAROUTSOS, NICKOLAOS, J	PORTFOLIO MANAGER	Na	yes	01/2007	May 22, 2013	Sep 1, 2015
MAROUTSOS, NICKOLAOS, J	Trustee	E	yes	01/2007	May 22, 2013	Sep 1, 2015
NICNICK PTY LTD	Shareholder	B	yes	01/2007	May 22, 2013	Sep 1, 2015
PALGHAT, KUMAR	CHIEF INVESTMENT OFFICER	D	yes	01/2007	May 22, 2013	Sep 1, 2015
PALGHAT, KUMAR	Trustee	E	yes	01/2007	May 22, 2013	Sep 1, 2015
WEIL, RICHARD, MACCOY	Director	Na	yes	07/2015	Sep 1, 2015	Sep 1, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JANUS CAPITAL MANAGEMENT LLC	n/a	Asset manager	$380B	N	yes	n/a
INTECH INVESTMENT MANAGEMENT LLC	n/a	Other adviser	$15B	N	yes	n/a
PERKINS INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$8.0B	N	yes	n/a
JANUS CAPITAL SINGAPORE PTE. LIMITED	n/a	Former SEC adviser	$317M	N	yes	n/a
JANUS CAPITAL ASIA LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS CAPITAL INSTITUTIONAL ADVISERS LLC	n/a	n/a	n/a	N	yes	n/a
JANUS CAPITAL INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
VELOCITYCAPITAL MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
VLS SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Sep 1, 2015	$6.7B	$6.7B	11	10	n/a	n/a	n/a
2014	Aug 29, 2014	$6.9B	$6.9B	10	9	n/a	n/a	n/a
2013	Sep 24, 2013	$6.4B	$5.5B	8	8	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$6.7B	$6.9B	-2.3%	n/a	n/a	11	10	n/a	n/a

Relationships

Affiliated with (8)

← JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, common control
factForm ADV
← PERKINS INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, common control
factForm ADV
← JANUS CAPITAL SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ INTECHRegistered adviserother investment adviser, common control
factForm ADV
→ PERKINS INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ JANUS CAPITAL SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV

Controls (11)

← JANUSOwnerMEMBER - CLASS B, ownership code E, domestic entity
Sep 1, 2015 to presentfactForm ADV
← WEIL, RICHARD, MACCOYOwnerDIRECTOR, ownership code NA, individual
Sep 1, 2015 to presentfactForm ADV
← MAROUTSOS, NICKOLAOS, JOwnerTRUSTEE, ownership code E, individual
May 22, 2013 to presentfactForm ADV
← GOLDMAN, STEPHEN, SCOTTOwnerTRUSTEE, ownership code E, individual
May 22, 2013 to presentfactForm ADV
← PALGHAT, KUMAROwnerTRUSTEE, ownership code E, individual
May 22, 2013 to presentfactForm ADV
← KOEPFGEN, BRUCE, LEWISOwnerDIRECTOR, ownership code NA, individual
Sep 1, 2015 to presentfactForm ADV
← 2DORAS PTY LTDOwnerSHAREHOLDER, ownership code B, foreign entity
May 22, 2013 to presentfactForm ADV
← JANUS CAPITAL GROUP INC.OwnerMEMBER, ownership code E, domestic entity
Sep 1, 2015 to presentfactForm ADV
← JANUS INTERNATIONAL HOLDING LLCOwnerSHAREHOLDER, ownership code D, domestic entity
Sep 1, 2015 to presentfactForm ADV
← KP4 PTY LTDOwnerSHAREHOLDER, ownership code C, foreign entity
May 22, 2013 to presentfactForm ADV
← NICNICK PTY LTDOwnerSHAREHOLDER, ownership code B, foreign entity
May 22, 2013 to presentfactForm ADV

Dated events

Occurred
May 22, 2013
First Form ADV filing
Kapstream Capital filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b271cef5-fffb-0e66-5b79-3a3286114a6e
First observed: May 22, 2013
Last observed: Sep 1, 2015 134 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KAPSTREAM CAPITAL

KAPSTREAM CAPITAL PTY LIMITED, CRD 167016

SYDNEY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b271cef5-fffb-0e66-5b79-3a3286114a6e

Data as of Sep 1, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:20 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

2DORAS PTY LTD

Shareholder

yes

01/2011

May 22, 2013

Sep 1, 2015

GOLDMAN, STEPHEN, SCOTT

Trustee

yes

01/2011

May 22, 2013

Sep 1, 2015

GOLDMAN, STEPHEN, SCOTT

Director

yes

07/2015

May 22, 2013

Sep 1, 2015

Janus

MEMBER - CLASS B

yes

03/2002

Sep 1, 2015

JANUS CAPITAL GROUP INC.

Member

yes

01/2003

Sep 1, 2015

JANUS HOLDINGS LLC

MEMBER - CLASS A

yes

03/2002

Sep 1, 2015

JANUS INTERNATIONAL HOLDING LLC

Shareholder

yes

07/2015

Sep 1, 2015

KOEPFGEN, BRUCE, LEWIS

Director

yes

07/2015

Sep 1, 2015

KP4 PTY LTD

Shareholder

yes

01/2007

May 22, 2013

Sep 1, 2015

MAROUTSOS, NICKOLAOS, J

PORTFOLIO MANAGER

yes

01/2007

May 22, 2013

Sep 1, 2015

MAROUTSOS, NICKOLAOS, J

Trustee

yes

01/2007

May 22, 2013

Sep 1, 2015

NICNICK PTY LTD

Shareholder

yes

01/2007

May 22, 2013

Sep 1, 2015

PALGHAT, KUMAR

CHIEF INVESTMENT OFFICER

yes

01/2007

May 22, 2013

Sep 1, 2015

PALGHAT, KUMAR

Trustee

yes

01/2007

May 22, 2013

Sep 1, 2015

WEIL, RICHARD, MACCOY

Director

yes

07/2015

Sep 1, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JANUS CAPITAL MANAGEMENT LLC

n/a

Asset manager

$380B

yes

n/a

INTECH INVESTMENT MANAGEMENT LLC

n/a

Other adviser

$15B

yes

n/a

PERKINS INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$8.0B

yes

n/a

JANUS CAPITAL SINGAPORE PTE. LIMITED

n/a

Former SEC adviser

$317M

yes

n/a

JANUS CAPITAL ASIA LIMITED

n/a

yes

n/a

JANUS CAPITAL INSTITUTIONAL ADVISERS LLC

n/a

yes

n/a

JANUS CAPITAL INTERNATIONAL LIMITED

n/a

yes

n/a

JANUS DISTRIBUTORS LLC

n/a

yes

n/a

VELOCITYCAPITAL MANAGEMENT LLC

n/a

yes

n/a

VLS SECURITIES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEWPORT BEACH

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Sep 1, 2015

$6.7B

n/a

2014

Aug 29, 2014

$6.9B

n/a

2013

Sep 24, 2013

$6.4B

$5.5B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$6.7B

$6.9B

-2.3%

n/a