9AT: CAPSTONE ASSET MANAGEMENT

CAPSTONE ASSET MANAGEMENT

other names

CAPSTONE ASSET MANAGEMENT
CAPSTONE ASSET MANAGEMENT, LLC

Adviser Profile

Registration status

Terminated

As of Date	10/03/2025
ADV Location	BETHLEHEM, PA, United States
Adviser Type - Large advisory firm
Number of Employees	1
of those in investment advisory functions	1

AUM^*	241,331,419 4%
of that, discretionary	0
Private Fund GAV^*	0
Avg Account Size	120,665,710 4%
SMA’s	Yes
Private Funds	0
Contact Info	800 xxxxxxx
Websites

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)

Reported AUM

599M 513M 428M 342M 257M 171M 86M

2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

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.