CAPSTONE ASSET MANAGEMENT
CAPSTONE ASSET MANAGEMENT, LLC Legal Name
Adviser information for CAPSTONE ASSET MANAGEMENT last updated from Form ADV on January 9th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 2 | $231.2M |
| Total | 2 | $231.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $231.2M |
| 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 | 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-72116 |
|---|---|
| SEC ERA File Number | 801-72116 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155846 |
| Legal Entity Identifier | None |
Principal Office
4439 WEST WYNDEMERE CIRCLESCHNECKSVILLE
PA
United States
Monday - Friday, 9AM-5PM
Tel: 800-257-2574, Fax: None
Websites
Chief Compliance Officer
JOHN A. SCHICK
PRESIDENT
4439 WEST WYNDEMERE CIRCLE
SCHNECKSVILLE
PA
United States
Tel:
484-895-1608
J******@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHICK, JOHN, ANDREW | Individual | – | SOLE MEMBER/ CHIEF COMPLIANCE OFFICER | 09/2010 | > 75% |