9AT: CAPSTONE ASSET MANAGEMENT

Adviser Profile

As of Date	10/03/2025
Registration status	Terminated
ADV Location	BETHLEHEM, PA, United States
Contact Info	800 xxxxxxx
Websites

AUM^*	241,331,419 4%
of that, discretionary	0
Number of Employees	1
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	120,665,710 4%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Banking or thrift institutions

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser WINDMARK INVESTMENT PARTNERS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM233.3m	#Funds-
Adviser GENERAL PARTNER, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM318.4m	#Funds-
Adviser FS FUND ADVISOR, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.6b	#Funds-
Adviser H.I.G. WHITEHORSE ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM615.1m	#Funds-
Adviser AGTB FUND MANAGER, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.5b	#Funds1
Adviser L. C. BHANDARI & CO.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM344.3m	#Funds-
Adviser LADDER CAPITAL ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM879.4m	#Funds-
Adviser PRIORITY SENIOR SECURED INCOME MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM479.1m	#Funds-
Adviser CONSTITUTION CAPITAL PM, L. P.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM910.8m	#Funds-
Adviser FRANKLIN BSP CAPITAL ADVISER LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.2b	#Funds5

Brochure Summary

Overview

Capstone Asset Management, LLC may provide investment supervisory services. Such service will be provided on a non-discretionary basis and would include ongoing monitoring and supervision of the client's account(s). For ease of reference, this service type shall be referred to as "investment supervisory" services. CAM’s provides such services to community banks and thrifts. CAM was incorporated in September 2010. The owner and President is John A. Schick. In order to determine a suitable course of action for an individual client, CAM shall perform a review of the client's financial circumstances. Such review may include, but would not necessarily be limited to, investment objectives, consideration of the client's overall financial condition, income and tax status, personal and business assets, risk profile, and other factors unique to the client's particular circumstances. CAM may design, revise, and reallocate a client's custom portfolio. Investments are determined based upon the client's investment objectives, risk tolerance, net worth, net income, age, time horizon, tax situation and other various suitability factors. Restrictions and guidelines imposed

by the client may affect the composition and performance of custom portfolios (as a result, performance of custom portfolios within the same investment objective may differ and the client should not expect that the performance of his/her custom portfolios will be identical to any other individual's portfolio performance). As of 12/31/2021, CAM manages $237,225,035 of client assets on a non-discretionary basis. In making investment decisions on behalf of the client, CAM shall rely on a client profile document or client questionnaire, which would be completed by the client. Since CAM’s clients are community banks the primary investment vehicles would be the following: Equity Securities: Exchange listed Securities; Securities traded over-the-counter & Mutual fund shares Fixed Income: Warrants; Commercial Paper; Corporate Debt; Certificates of Deposit; Municipal Securities; & United States government securities. Fees for CAM's advisory services described in this section may involve the following fee types: · Fixed Flat Fees Please refer to Item 5 below for specific details related to the fees CAM may charge for its investment supervisory services.

CAPSTONE ASSET MANAGEMENT

CAPSTONE ASSET MANAGEMENT

CAPSTONE ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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CAPSTONE ASSET MANAGEMENT CAPSTONE ASSET MANAGEMENT CAPSTONE ASSET MANAGEMENT, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

CAPSTONE ASSET MANAGEMENT

CAPSTONE ASSET MANAGEMENT

CAPSTONE ASSET MANAGEMENT, LLC