# CAPSTONE INVESTMENT ADVISORS, LLC

CAPSTONE INVESTMENT ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 155563
- Type: SEC-registered investment adviser
- SEC file number: 801-73004
- Location: 7 WORLD TRADE CENTER, NEW YORK, NY, 10007
- Phone: 212-232-1420
- Latest filing: 2026-08-05
- Regulatory AUM: $91.5B
- Discretionary AUM: $91.5B
- Clients: 304
- Accounts: 31

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (25)

| Name | Role | Location |
| --- | --- | --- |
| Jonathan Edward Hugh Sorrell | PRESIDENT | — |
| Paul Matthew Britton | MANAGING MEMBER; MANAGING MEMBER & CHIEF EXECUTIVE OFFICER | — |
| Matthew Raymond Tonelli | HEAD OF TRADING | — |
| Emily Ann Locher | CHIEF COMPLIANCE OFFICER | — |
| Niall William Cameron | CHIEF RISK OFFICER | — |
| Robert Jan Kolodziej | CHIEF OPERATING OFFICER | — |
| Cristin Michelle Grimm | CHIEF FINANCIAL OFFICER | — |
| VIOLA VINCENT JAMES | MEMBER | — |
| LUCAS JOSEPH JOHN | CHAIRMAN; PRESIDENT; PRESIDENT & CHIEF OPERATING OFFICER | — |
| MCGANN ROBERT VINCENT | CHIEF FINANCIAL OFFICER | — |
| CUA GILFELIX ONG | CHIEF RISK OFFICER | — |
| CAMERON BYRON WILLIAM | CHIEF RISK OFFICER | — |
| HANNA ROBERT RICHARD | CHIEF OPERATING OFFICER | — |
| BRITTON PAUL MATTHEW | MANAGER & CHIEF EXECUTIVE OFFICER; MANAGING MEMBER; MANAGING MEMBER & CHIEF EXECUTIVE OFFICER (+1 more) | — |
| BENSLEY ADAM MICHAEL | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | — |
| HECKERLING JEREMY A | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | — |
| SORRELL JONATHAN E H | PRESIDENT | — |
| KORNOBIS KEVIN TYLER | CHIEF FINANCIAL OFFICER | — |
| TONELLI MATTHEW RAYMOND | CHIEF RISK OFFICER; HEAD OF TRADING | — |
| SETRIN KATRINA PAGLIA | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | — |
| LOCHER EMILY ANN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| SORRELL JONATHAN EDWARD HUGH | PRESIDENT | — |
| KOLODZIEJ ROBERT JAN | CHIEF OPERATING OFFICER | — |
| Thomas Alan Leake | HEAD OF SOLUTIONS | — |
| David Lewis Zimmerman | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (10)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-08-29 | regulatory | ON OCTOBER 16, 2019, ("HEARING DATE"), THE CHICAGO BOARD OF TRADE ("CBOT") DETERMINED THAT AN EXCHANGE FOR RELATED POSITION ("EFRP") PACKAGE TRADED BY CAPSTONE ON JULY 9, 2018 LACKED BOTH A REASONABLE DEGREE OF PRICE CORRELATION AND OPPOSING MARKET BIAS, AND THUS DEEMED THE TRADE TO HAVE BEEN EXECUT… | Final | $15K |
| 2016-03-23 | regulatory | ON MAY 24, 2016, THE FINNISH FINANCIAL SUPERVISORY AUTHORITY (THE "FIN-FSA") LEVIED AN ADMINISTRATIVE FINE ON CAPSTONE VOLATILITY MASTER LIMITED FUND ("CVM") BECAUSE THE FIN-FSA DETERMINED THAT CVM DID NOT TIMELY SUBMIT THE FIN-FSA DISCLOSURE TO COMPLY WITH THE DISCLOSURE REQUIREMENT UNDER ARTICLE 6… | Final | $22K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/155563/brochure
- Similar advisers: https://search.stillhousedata.com/firm/155563/similar
- Related entities: https://search.stillhousedata.com/firm/155563/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/155563

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.