DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Capstone Investment Advisors, LLC
Latest filing Aug 5, 2026
First filing on the tape Dec 22, 2011 · 65 filings
SEC status approved since Jan 23, 2012
RAUM
$92B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$92B
derived; firm RAUM over IAPD count
Employees
304
115 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
16
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$92B as of Aug 5, 2026
Mar 14, 2013$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 5, 2026
Mar 14, 20130 then
Employees (5.A)304 as of Aug 5, 2026
Mar 14, 201356 then
Private funds16 as of Aug 5, 2026
Mar 14, 20132 then
RAUM -0.2% over the last fiscal year+28% a year over threeIARs 0 to 0offices 5 to 7
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $92BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 304.0derivedItem 5.A over advisors
- Advisors per office
- 0.1derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$91B100%
- Banks and thrifts$140M0.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Pavel B Blinchik | New York, Ny | Jul 30, 2024 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
43 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Capstone Global Master (Cayman) Limited | Hedge Fund | $59B | 107 | Dec 22, 2011 |
| Capstone Income Opportunities III, LLC | Hedge Fund | $4.6B | 1 | Aug 19, 2022 |
| Capstone Dispersion Master Fund Ltd. | Hedge Fund | $2.6B | 22 | Aug 29, 2018 |
| Capstone Income Opportunities II Ltd.no longer reported | Hedge Fund | $2.2B | 1 | Feb 25, 2016 |
| Capstone Income Opportunities Ltd. | Hedge Fund | $593M | 1 | Feb 27, 2015 |
| Capstone Opportunistic Risk Alternatives Master Fund Ltd. | Hedge Fund | $535M | 1 | Mar 30, 2020 |
| Capstone Global Funds Icav - Capstone Dynamic Hedging Fundno longer reported | Hedge Fund | $498M | 41 | Mar 30, 2020 |
| Cf Capstone Fund Limitedno longer reported | Hedge Fund | $421M | 3 | Feb 28, 2017 |
| Capstone Crown Fund LP | Hedge Fund | $389M | 2 | Nov 15, 2023 |
| Capstone Commonwealth Fund, LP | Hedge Fund | $324M | 2 | Jan 21, 2022 |
| Capstone Storm Fund LP | Hedge Fund | $320M | 2 | Mar 1, 2021 |
| Cf Capstone Global Equity Fund Limitedno longer reported | Hedge Fund | $300M | 1 | Aug 3, 2017 |
| Capstone Diversified Dynamic Alpha Strategy Fund, LLCno longer reported | Hedge Fund | $212M | 8 | Aug 3, 2017 |
| Capstone Relative Value Volatility Fund Ltd. | Hedge Fund | $179M | 3 | May 25, 2023 |
| Cpp-2019-1 Fund Limitedno longer reported | Hedge Fund | $173M | 1 | Jun 17, 2019 |
| Capstone Gateway Fund (B) Ltd.no longer reported | Hedge Fund | $165M | 1 | Aug 29, 2018 |
| Capstone First Responder LP | Hedge Fund | $149M | 2 | Nov 15, 2023 |
| Capstone Valley Solutions Fund, LPno longer reported | Hedge Fund | $144M | 2 | May 20, 2022 |
| Capstone Ec Fund, LP | Hedge Fund | $134M | 5 | Feb 26, 2020 |
| Ks-Capstone Fund Limitedno longer reported | Hedge Fund | $111M | 1 | Jun 1, 2015 |
| Capstone Convex Portfolio Master (Cayman) Limited | Hedge Fund | $98.0M | 13 | Nov 27, 2020 |
| Blenheim Commodity Fund, LLCno longer reported | Hedge Fund | $97.5M | 51 | Aug 3, 2017 |
| Capstone Gateway Fund (E) Ltd.no longer reported | Hedge Fund | $83.8M | 1 | Aug 29, 2018 |
| Capstone Alternative Markets Trend Strategy Master (Cayman) LP | Hedge Fund | $82.2M | 11 | May 25, 2023 |
| Capstone Wdv Fund, LLCno longer reported | Hedge Fund | $79.7M | 2 | Feb 27, 2018 |
| Capstone Alternative Risk Strategy Master (Cayman) LP | Hedge Fund | $77.0M | 5 | Jan 24, 2023 |
| Capstone Phi Kappa Fund Ltd. | Hedge Fund | $74.2M | 1 | Nov 29, 2018 |
| Cpp-2012-1 Fund Limited | Hedge Fund | $49.6M | 1 | Aug 24, 2012 |
| Capstone Asfa Ltd.no longer reported | Hedge Fund | $42.4M | 1 | Oct 26, 2016 |
| Capstone Mount Washington Fund, LP | Hedge Fund | $40.1M | 4 | May 20, 2022 |
| Capstone Hedge II, LP | Hedge Fund | $37.6M | 2 | May 20, 2022 |
| Capstone Equity Replacement Master Fund Ltd. | Hedge Fund | $34.0M | 4 | Feb 28, 2017 |
| Capstone Cav Master, LP | Hedge Fund | $30.8M | 1 | Aug 28, 2020 |
| Capstone Blue Fund Ltd. | Hedge Fund | $28.3M | 1 | Mar 30, 2020 |
| Capstone Convexity Master Fund, Limitedno longer reported | Hedge Fund | $8.3M | 1 | Dec 22, 2011 |
| Capstone Long Volatility Fund Master (Cayman) Limitedno longer reported | Hedge Fund | $2.8M | 1 | Mar 1, 2021 |
| Capstone Full Court Press LPno longer reported | Hedge Fund | $175,632 | 2 | Aug 29, 2018 |
| Capstone Pi Sigma Fund (US) LPno longer reported | Hedge Fund | $162,181 | 2 | Oct 26, 2016 |
| Cf Capstone Spc Fund Ltd - Msef Spno longer reported | Hedge Fund | $75,194 | 1 | Aug 29, 2018 |
| Cf Capstone Spc Fund Ltd - Gef Spno longer reported | Hedge Fund | $42,375 | 1 | Aug 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Matthew Paul Britton · Managing Member & Chief Executive Officercontrolsince 03/2007 · owns less than 5%
- William Niall Cameron · Chief Risk Officercontrolsince 08/2022 · owns less than 5%
- Jan Robert Kolodziej · Chief Operating Officercontrolsince 11/2023 · owns less than 5%
- Ann Emily Locher · General Counsel And Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Edward Hugh Jonathan Sorrell · Presidentcontrolsince 01/2020 · owns less than 5%
- Raymond Matthew Tonelli · Head Of Tradingcontrolsince 02/2020 · owns less than 5%
- Matthew Paul Britton · Managing Membercontrolsince 12/2021 · owns 75% or more of Cia Associates Ny LLC
Entity owners
- Cia Associates Ny LLC · Memberdirect · owns 75% or more
- Ngi Strategic Holdings (A) LP · Memberdirect · owns 10% to 25%
- Navigator Global Investments Limited · Shareholderindirect · owns 75% or more of Ngi Strategic Holdings I, Inc.
- Ngi Strategic Holdings Gp LLC · General Partnerindirect · owns F of Ngi Strategic Holdings (A) LP
- Ngi Strategic Holdings I, Inc. · Shareholderindirect · owns 75% or more of Ngi Strategic Holdings II, Inc.
- Ngi Strategic Holdings II, Inc. · Limited Partnerindirect · owns 50% to 75% of Ngi Strategic Holdings (A) LP
- Ngi Strategic Holdings II, Inc. · Managing Memberindirect · owns 75% or more of Ngi Strategic Holdings Gp LLC
Related persons
Schedule D 7.A
- Capstone Fund Services II, LLCpooled vehicle sponsorn
- Capstone Fund Services, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT6 employees
- New York, NY5 employees
- Boston, MA3 employees
- Los Angeles, CA2 employees
What changed
consecutive filings, newest first
- Other offices · 6 to 7Apr 23, 2026 to Aug 5, 2026
- Accounts · 33 to 31Nov 25, 2025 to Mar 27, 2026
- Advisory employees · 111 to 115Nov 25, 2025 to Mar 27, 2026
- Pooled vehicle clients · 31 to 29Nov 25, 2025 to Mar 27, 2026
- Employees · 330 to 304Nov 25, 2025 to Mar 27, 2026
- Private funds · 19 to 16Nov 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $92B to $92BNov 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $92B to $91BNov 25, 2025 to Mar 27, 2026
- RAUM · $92B to $92BNov 25, 2025 to Mar 27, 2026
- Other offices · 5 to 6Aug 27, 2025 to Nov 25, 2025
- Private funds · 18 to 19Jun 30, 2025 to Aug 27, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 30, 2025
- Accounts · 31 to 33Oct 17, 2024 to Mar 28, 2025
- Advisory employees · 108 to 111Oct 17, 2024 to Mar 28, 2025
- Pooled vehicle clients · 30 to 31Oct 17, 2024 to Mar 28, 2025
- Employees · 284 to 330Oct 17, 2024 to Mar 28, 2025
- Other offices · 4 to 5Oct 17, 2024 to Mar 28, 2025
- Private funds · 19 to 18Oct 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $69B to $92BOct 17, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $15.2M to $0Oct 17, 2024 to Mar 28, 2025
- Pension RAUM · 15167933.0 to unsetOct 17, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $69B to $92BOct 17, 2024 to Mar 28, 2025
- RAUM · $69B to $92BOct 17, 2024 to Mar 28, 2025
- Accounts · 28 to 31Jan 9, 2024 to Mar 27, 2024
- Advisory employees · 115 to 108Jan 9, 2024 to Mar 27, 2024
- Pooled vehicle clients · 28 to 30Jan 9, 2024 to Mar 27, 2024
- Assets in custody · 0.0 to unsetJan 9, 2024 to Mar 27, 2024
- Employees · 253 to 284Jan 9, 2024 to Mar 27, 2024
- Private funds · 21 to 19Jan 9, 2024 to Mar 27, 2024
- Discretionary RAUM · $43B to $69BJan 9, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $55.6M to $15.2MJan 9, 2024 to Mar 27, 2024
- Pension RAUM · $55.6M to $15.2MJan 9, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $43B to $69BJan 9, 2024 to Mar 27, 2024
- RAUM · $43B to $69BJan 9, 2024 to Mar 27, 2024
- Private funds · 19 to 21Jul 19, 2023 to Nov 15, 2023
- Private funds · 17 to 19Mar 30, 2023 to May 25, 2023
- Advisory employees · 86 to 115Jan 25, 2023 to Mar 30, 2023
- Pooled vehicle clients · 26 to 28Jan 25, 2023 to Mar 30, 2023
- Employees · 213 to 253Jan 25, 2023 to Mar 30, 2023
- Private funds · 20 to 17Jan 25, 2023 to Mar 30, 2023
Signals
20 dated events
- Capstone Investment Advisors, Llc reported RAUM $91.7B, up 32% from $69.3B (2024-10-17 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Capstone Investment Advisors, Llc reported RAUM $69.3B, up 59% from $43.5B (2024-01-09 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Richard Robert Hanna (Chief Operating Officer) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2023-07-19, absent 2023-11-15)Nov 15, 2023 · Control person left · inference
- Jan Robert Kolodziej (Chief Operating Officer) appeared on Schedule A of Capstone Investment Advisors, LlcNov 15, 2023 · Control person joined · fact
- Capstone Investment Advisors, Llc reported RAUM $43.5B, down 36% from $68.1B (2023-01-25 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Tyler Kevin Kornobis (Chief Financial Officer) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2023-01-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- William Niall Cameron (Chief Risk Officer) appeared on Schedule A of Capstone Investment Advisors, LlcAug 19, 2022 · Control person joined · fact
- Capstone Investment Advisors, Llc reported RAUM $68.1B, up 48% from $46.0B (2022-01-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Paglia Katrina Setrin (Chief Compliance Officer & General Counsel) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2022-01-21, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ann Emily Locher (General Counsel And Chief Compliance Officer) appeared on Schedule A of Capstone Investment Advisors, LlcMar 31, 2022 · Control person joined · fact
- Ong Gilfelix Cua (Chief Risk Officer) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2021-11-23, absent 2022-01-21)Jan 21, 2022 · Control person left · inference
- Capstone Investment Advisors, Llc reported RAUM $46.0B, down 36% from $71.4B (2021-03-01 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- John Joseph Lucas (Chairman) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2021-03-01, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Ong Gilfelix Cua (Chief Risk Officer) appeared on Schedule A of Capstone Investment Advisors, LlcMar 30, 2020 · Control person joined · fact
- E H Jonathan Sorrell (President) appeared on Schedule A of Capstone Investment Advisors, LlcFeb 26, 2020 · Control person joined · fact
- Richard Robert Hanna (Chief Operating Officer) appeared on Schedule A of Capstone Investment Advisors, LlcOct 25, 2019 · Control person joined · fact
- Capstone Investment Advisors, Llc reported RAUM $43.3B, down 32% from $63.7B (2019-03-29 to 2019-06-17)Jun 17, 2019 · RAUM change · derived
- Paglia Katrina Setrin (Chief Compliance Officer & General Counsel) appeared on Schedule A of Capstone Investment Advisors, LlcJun 17, 2019 · Control person joined · fact
- Michael Adam Bensley (Chief Compliance Officer & General Counsel) no longer on Schedule A of Capstone Investment Advisors, Llc (listed 2019-03-29, absent 2019-06-17)Jun 17, 2019 · Control person left · inference
- Capstone Investment Advisors, Llc reported RAUM $60.6B, up 124% from $27.1B (2018-03-29 to 2018-08-29)Aug 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/global-volatility-summitreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/capstone-investment-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CAPSTONECO.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-232-1420reportedpublic record, Form ADV, Aug 5, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $92Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026