CAPSTONE INVESTMENT ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 155563). Regulatory assets under management: $91.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Investment cos.
| 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 | — |
| 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 |