Capstone Equities Manager, LLC (New York)

Name: Capstone Equities Manager, LLC
Address: 545 Fifth Avenue, New York, NY, 10017
Telephone: 646-517-1411

Capstone Equities Manager, LLC is an adviser based in New York. It manages $362.97 thousand of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdiction of New York.

Capstone Equities Manager provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Capstone Equities Manager: assets under management

The assets under management (AUM) of Capstone Equities Manager, LLC is $362.97 thousand, all of which is managed in discretionary accounts. The firm's AUM has gone down by -93% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $362.97 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $120.99 thousand each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capstone Equities Manager, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Capstone Equities Manager serves?

The only and largest group of clients of Capstone Equities Manager is investment companies with 3 clients and $362.97 thousand of assets under management. Among the 3 most similar advisory firms, Capstone Equities Manager has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $362.97 thousand for 3 clients. 50% of the firm’s clients are foreign persons or businesses.

Capstone Equities Manager also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Capstone Equities Manager, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joshua Isaac Roshanzamir	Managing member and portfolio manager	1 May 2011	50% - 75%	6273604
Justin Joseph Adelipour	Member	1 Feb 2013	Other	5389166
Adam M Chud	Member and portfolio manager	1 Feb 2013	Other	4432134
Qi Li	Chief financial officer, chief compliance officer, chief operating officer	1 Jan 2014	Other	1933189

Based in New York

The principal office where Capstone Equities Manager, LLC performs its advisory services is located at 545 Fifth Avenue, New York, NY 10017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-517-1411 or by fax 646-829-9399. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at capstonecm.com.