CAPSTONE INVESTMENT GROUP
CAPSTONE INVESTMENT GROUP, LLC Legal Name
Adviser information for CAPSTONE INVESTMENT GROUP last updated from Form ADV on February 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Limited Liability Company |
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Fiscal Year End | DECEMBER |
Legal Location | Washington, United States |
Employees
Total Number of Employees | 8 |
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Investment Advisory/Research | 4 |
Registered Broker-Dealer Representatives | 2 |
Registered State Investment Advisers | 4 |
Licensed Agents of an Insurance Company | 3 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 1,156 | $139.1M |
Non-Discretionary | 0 | $0 |
Total | 1,156 | $139.1M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 431 | $89.6M |
HNW Individuals | 45 | $39.8M |
Banking or thrift institutions | <5 | $8.0M |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 0 | $0 |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | <5 | $593,867 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | <5 | $1.1M |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 251-500 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
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Compensation | % of AUMHourly charges |
Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
SEC RIA File Number | 801-121820 |
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SEC ERA File Number | 801-121820 |
SEC CIK Numbers | None |
SEC CRD Numbers | 159918 |
Legal Entity Identifier | None |
Principal Office
2405 EVERGREEN PARK DRIVE SW BLDG AOLYMPIA
WA
United States
M-T 8AM-5PM, FRIDAY 8-3PM, M-TH 9-5 TO M-TH 9-5 AND FRIDAY'S 9-3PM
Tel: 360-570-9888, Fax: 360-528-2017
Websites
Chief Compliance Officer
SANDRA K. DRENNON
PORTFOLIO MANAGER/CCO/PRESIDENT
2405 EVERGREEN PARK DRIVE SW BLDG A
OLYMPIA
WA
United States
Tel:
360-570-9888
Fax:
360-528-2017
S****@*************T
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
DRENNON, SANDRA, KAY | Individual | – | PORTFOLIO MANAGER/CHIEF COMPLIANCE OFFICER/PRESIDENT | 05/2008 | > 75% |
DRENNON, MICHAEL, D | Individual | – | EXECUTIVE VICE PRESIDENT | 01/2021 | < 5% |