401(k) · DOL Form 5500 · 2023

Capstone Investment Advisors LLC 401(k) Plan

Data updated 2026-08-25

$22M
Total assets Small plan by assets
156
Participants Small participant base
74th
Percentile by assets National rank
$138,605
Avg per participant Near avg balance/head
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Official DOL plan name: Capstone Investment Advisors LLC 401(k) Plan · Sponsored by Capstone Investment Advisors LLC · New York · Finance & Insurance

$22M in assets, 156 participants

Capstone Investment Advisors LLC's Capstone Investment Advisors LLC 401(k) Plan reported $22M in total assets and 156 participants in its 2023 DOL Form 5500 filing, ranking in the 74th percentile by assets among filed plans. Figures are as reported by the plan sponsor to the Department of Labor, not audited or endorsed by PlainRetire.

  • #5,415 in Finance & Insurance (8,869 peers)

Coverage in New York

Capstone Investment Advisors LLC 401(k) Plan covers 156 participants in New York, about 20% of the average New York filer (state average ~798 per filing). Assets: $22M.

#5,415
in Finance & Insurance (8,869 peers)
+26.7%
assets growth YoY

Capstone Investment Advisors LLC 401(k) Plan's outsized position by total assets

Capstone Investment Advisors LLC 401(k) Plan vs every filed plan by assets

End-of-year total assets · plan year 2023 · DOL Form 5500

$21,622,339 Top 26% higher than 74% of 127,068 filed plans

This plan $0 $2,050,000,000 every filed plan with reported assets, bucketed by value

Dashed line + filled bar = this entry, among filed plans.

Source U.S. Department of Labor Form 5500 filings (EBSA) · plan year 2023

Capstone Investment Advisors LLC 401(k) Plan among mid-size filed plans by headcount

Plan-year 2023 Form 5500 filings with a reported participant count, partitioned by headcount band, not by assets. Capstone Investment Advisors LLC 401(k) Plan sits mid-pack in the medium band (156 participants).

What changed between DOL Form 5500 filings

plan year 2022 → plan year 2023

  • Capstone Investment Advisors LLC 401(k) Plan reported net income rose from -$412K in the plan year 2022 filing to $5M in the plan year 2023 filing.
  • Capstone Investment Advisors LLC 401(k) Plan end-of-year assets rose from $17M in the plan year 2022 filing to $22M in the plan year 2023 filing.
  • Capstone Investment Advisors LLC 401(k) Plan reported participants rose from 144 in the plan year 2022 filing to 156 in the plan year 2023 filing.

See the national 2022→2023 release diff →

Plan-year Form 5500 strip

Filing strip 208601093 · Capstone Investment Advisors LLC PY 2023 · 401(k)

Capstone Investment Advisors LLC 401(k) Plan · $22M · 156 · 74th

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Stamps derive from this plan's Form 5500 line items (assets, participants, type, EIN, cohort placement) - not a quality rating of the sponsor. Read with Finance & Insurance retirement plans → · Plans in New York →

Capstone Investment Advisors LLC 401(k) Plan in the asset neighbourhood

Lee Contracting, Inc. 401(k) Profit Sharing PlanLee Contracting, Inc. 401(k)…$22MCapstone Investment Advisors LLC 401(k) PlanCapstone Investment Advisors…$22MGen4 Dental Partners 401(k) Retirement PlanGen4 Dental Partners 401(k) …$22MIsk Americas Incorporated Investment PlanIsk Americas Incorporated In…$22MMachine Concepts, Inc. Profit Sharing PlanMachine Concepts, Inc. Profi…$22M
End-of-year total assets ($M) among Capstone Investment Advisors LLC 401(k) Plan and nearest nationwide 401(k) peers. Source: DOL Form 5500 plan year 2023.

New York filing particulars

Total Assets (Beginning of Year)$17M
Net Assets (End of Year)$22M
Net Income$5M
Employer EIN208601093
Plan Effective Date2022-01-01
Filing StatusFILING RECEIVED

Sponsor Plan History (Capstone Investment Advisors LLC)

Sponsor-wide plan assets over time

All Capstone Investment Advisors LLC plans reported in each filing year

Latest sponsor-wide plan assets
$29M 69.13495190824645% vs 2022
2024 filing year
$15M$20M$25M$30M$35M 202220232024 $17.1M $28.9M ▲ +69.1%
Year Plans Participants Total Assets
2022 1 144 $17M
2023 1 156 $22M
2024 1 164 $29M

Nearby 401(k) Plans in New York

Peer 401(k) plans, same state, same plan type, ranked by total assets.

Capstone Investment Advisors LLC 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants Scatter plot of 6 data points. -50000050000100000150000 -20020406080 Total assets ($B) Participants Capstone Investment Advisors LLC 401(k) Plan, Total assets ($B): 0.021622339 · Participants: 156Capstone Investment Advisors LLC 401(k) PlanIBM 401 (K) Plus Plan, Total assets ($B): 57.428456306 · Participants: 54912IBM 401 (K) Plus PlanPfizer Savings Plan, Total assets ($B): 19.56134085 · Participants: 30033Pfizer Savings PlanMorgan Stanley 401(k) Plan, Total assets ($B): 19.235068266 · Participants: 55363Morgan Stanley 401(k) PlanThe Pepsico Savings Plan, Total assets ($B): 13.651296 · Participants: 133597The Pepsico Savings PlanThe Goldman Sachs 401(k) Plan, Total assets ($B): 11.428659742 · Participants: 24866The Goldman Sachs 401(k) Plan
Capstone Investment Advisors LLC 401(k) Plan vs. nearby 401(k) plans in New York, assets vs. participants
Compare Capstone Investment Advisors LLC 401(k) Plan side-by-side with 3 peers →

Capstone Investment Advisors LLC 401(k) Plan's out-of-state 401(k) peers by assets and headcount

Outside New York, the nearest 401(k) by assets is Gen4 Dental Partners 401(k) Retirement Plan in AZ ($22M); by covered participants it is Motivating Graphics 401(k) Retirement Plan in TX (156 participants). Same-state nearby plans are listed separately above.

Similar participant headcount

Nearest other-state filings by covered participants (156 participants); asset peers above are excluded.

DOL Form 5500 plan year 2023. Asset totals can differ widely at the same headcount; neither axis is a quality rating.

Frequently Asked Questions

How did Capstone Investment Advisors LLC 401(k) Plan assets move in 2023? ▼
Capstone Investment Advisors LLC 401(k) Plan grew sharply - up 26.7% during 2023, from $17M to $22M. Reported net income was $5M.
How have Capstone Investment Advisors LLC plan assets changed over time? ▼
Across 3 plan years on file (2022-2024), Capstone Investment Advisors LLC's sponsor-wide assets grew 69.1%, from $17M to $29M.
Which 401(k) plans are similar in size to Capstone Investment Advisors LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by assets is Gen4 Dental Partners 401(k) Retirement Plan in AZ ($22M, 1,040 participants).
Which 401(k) plans cover a similar participant headcount to Capstone Investment Advisors LLC 401(k) Plan? ▼
Among 401(k) plans in other states, the closest by covered participants is Motivating Graphics 401(k) Retirement Plan in TX (156 participants, $1M in assets).

Source: U.S. Department of Labor, Employee Benefits Security Administration (EBSA), Form 5500 public disclosure dataset. Plan year 2023.

Source: DOL EFAST2 filing system (efast.dol.gov) - original filing retrieval by EIN 208601093.

Read our methodology - how this data is sourced, computed, and verified.

Data sourced from U.S. Department of Labor Form 5500 filings (EBSA). See our methodology for details.