CAPSTONE INVESTMENT FINANCIAL GROUP, LLC
Adviser information for CAPSTONE INVESTMENT FINANCIAL GROUP, LLC last updated from Form ADV on March 7th, 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 |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Colorado, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 7 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 971 | $132.6M |
| Non-Discretionary | 8 | $4.4M |
| Total | 979 | $137.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 355 | $63.6M |
| HNW Individuals | 40 | $71.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $2.4M |
| 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 | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 126.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CIFG WRAP FEE PROGRAM | CAPSTONE INVESTMENT FINANCIAL GROUP, LLC |
Identifiers
| SEC RIA File Number | 801-67699 |
|---|---|
| SEC ERA File Number | 801-67699 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122575 |
| Legal Entity Identifier | None |
Principal Office
115 WEST SALORI COURTWEBSTER
NY
United States
SEE BELOW, BY APPOINTMENT ONLY
Tel: 719-477-9883, Fax: 719-477-1045
Chief Compliance Officer
ANN ZEMANN
951 CRESTRIDGE RD
OMAHA
NE
United States
Tel:
402-250-2691
A********@**********M
(Full email address available in API data)
Regulatory Contact
JAMES CORNEHLSEN
MANAGER
115 W. SALORI CT.
WEBSTER
NY
United States
Tel:
719-477-9883
Fax:
719-477-1045
J**********@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ROCKY MOUNTAIN CAPITAL FUND, L.P. | Hedge Fund | $2.4M | $0.1M | 13 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CORNEHLSEN, JAMES, BRYAN | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2022 | 50-75% |
| ZEMANN, ANN, TERESE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2010 | < 5% |
| CORNEHLSEN, ELIZABETH, A. | Individual | – | MEMBER | 12/2009 | 25-50% |
| Turbyfill, Ryan, Mark | Individual | – | MANAGING DIRECTOR | 09/2022 | < 5% |
| SIGRIST, WILLIAM, RAYMOND | Individual | – | CHIEF OPERATING OFFICER | 09/2022 | < 5% |