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.

Former SEC-registered adviser

Kapstream Capital

Former SEC-registered adviserSydney, CRD 167016SEC 801-78125IAPD
Legal name Kapstream Capital Pty Limited
Latest filing Sep 1, 2015
First filing on the tape May 22, 2013 · 4 filings
RAUM
$6.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$6.7B as of Sep 1, 2015
Sep 24, 2013$6.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 1, 2015
Sep 24, 20130 then
Employees (5.A)11 as of Sep 1, 2015
Sep 24, 20138 then
Private funds: no history
RAUM -2.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$372MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.3%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, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Scott Stephen Goldman · Directorcontrol
        since 07/2015 · owns 5% to 10%
      • Lewis Bruce Koepfgen · Directorcontrol
        since 07/2015 · owns less than 5%
      • J Nickolaos Maroutsos · Portfolio Managercontrol
        since 01/2007 · owns less than 5%
      • Kumar Palghat · Chief Investment Officercontrol
        since 01/2007 · owns 50% to 75%
      • Maccoy Richard Weil · Directorcontrol
        since 07/2015 · owns less than 5%
      • Scott Stephen Goldman · Trusteecontrol
        since 01/2011 · owns 75% or more of 2doras Pty Ltd
      • J Nickolaos Maroutsos · Trusteecontrol
        since 01/2007 · owns 75% or more of Nicnick Pty Ltd
      • Kumar Palghat · Trusteecontrol
        since 01/2007 · owns 75% or more of Kp4 Pty Ltd
      Entity owners
      • 2doras Pty Ltd · Shareholder
        direct · owns 10% to 25%
      • Janus International Holding LLC · Shareholder
        direct · owns 50% to 75%
      • Kp4 Pty Ltd · Shareholder
        direct · owns 25% to 50%
      • Nicnick Pty Ltd · Shareholder
        direct · owns 10% to 25%
      • Janus · Member - Class B
        indirect · owns 75% or more of Janus International Holding LLC
      • Janus Capital Group Inc. · Member
        indirect · owns 75% or more of Janus Capital Management LLC And Janus Holdings LLC · public reporting company
      • Janus Holdings LLC · Member - Class A
        indirect · owns 75% or more of Janus Internation Holding LLC
      Related persons
      Schedule D 7.A
      Advisers that list Kapstream Capital as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Newport Beach, CA
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 10
        Aug 29, 2014 to Sep 1, 2015
      • Employees · 10 to 11
        Aug 29, 2014 to Sep 1, 2015
      • Discretionary RAUM · $6.9B to $6.7B
        Aug 29, 2014 to Sep 1, 2015
      • RAUM · $6.9B to $6.7B
        Aug 29, 2014 to Sep 1, 2015
      • Related bank · false to true
        Aug 29, 2014 to Sep 1, 2015
      • Related broker-dealer · false to true
        Aug 29, 2014 to Sep 1, 2015
      • Accounts · 25 to 18
        Sep 24, 2013 to Aug 29, 2014
      • Advisory employees · 8 to 9
        Sep 24, 2013 to Aug 29, 2014
      • Employees · 8 to 10
        Sep 24, 2013 to Aug 29, 2014
      • Discretionary RAUM · $5.5B to $6.9B
        Sep 24, 2013 to Aug 29, 2014
      • Non-discretionary RAUM · $900M to $0
        Sep 24, 2013 to Aug 29, 2014
      • RAUM · $6.4B to $6.9B
        Sep 24, 2013 to Aug 29, 2014
      • Accounts · 22 to 25
        May 22, 2013 to Sep 24, 2013
      • Non-discretionary RAUM · $300M to $900M
        May 22, 2013 to Sep 24, 2013
      • RAUM · $5.8B to $6.4B
        May 22, 2013 to Sep 24, 2013
      Signals
      1 dated events
      • Kapstream Capital filed its initial SEC registration (Form ADV)
        May 22, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026