Guiding Principles

CAPSTONE Investment Group, LLC knows wisdom is the right application of knowledge. We live in a knowledge-driven economy continually transformed by the latest iteration of change, courtesy of the Information Age. Information is abundant and readily accessible like no other time in history. The challenge of dispensing accurate financial advice and managing assets is to understand exactly what information matters and what does not. CAPSTONE continually strives to understand, sift, and embrace unchanging principles while acknowledging trends that are ever-evolving. Our paradigm must be undergirded with time-tested principles of wealth preservation, while remaining sufficiently flexible to not break with the next trend.

Discipline is integral to proper management of client assets, especially in a climate of uncertainty. Chief among our disciplines is a collaborative team approach to portfolio management. CAPSTONE Investment Group, LLC strategically serves as a team of equals who must arrive at unanimous consent prior to undertaking a sale or purchase of securities on behalf of our clients. This arrangement allows our clients to benefit from seasoned wisdom while also compelling the portfolio managers to engage in genuine discussion as part of reaching their investment decision. While fear and greed continue to drive financial markets, CAPSTONE Investment Group, LLC seeks to subjugate those emotions to the discipline of our investment process for the benefit of our clientele and their families.

Understanding is the key principle to “why” CAPSTONE Investment Group, LLC exists. Understanding our clients and their needs is paramount to the discussions of how they define success. For WISDOM or DISCIPLINE to have meaning, it must be built on an UNDERSTANDING of why the client is accumulating wealth. Money is a tool and not a worthy end unto itself; simply striving for more is not a worthwhile objective. Our team is aware that the same dollar bill that can provide opportunity and a brighter future can also serve to destroy relationships. Understanding the context and story of each client brings a wholly unique and individual approach whereby clients are valued by each professional with our Firm.

CAPSTONE Investment Group has adopted and seeks to adhere to the CFA® Institute Asset Manager Code of Professional Conduct.  This document serves as a foundational guide to the process and procedure employed by the Firm in the management of client funds.  The basic principles are as follows:

The CFA Institute is a non-profit organization which oversees and administers the Chartered Financial Analyst® designation.  Obtaining the CFA® designation requires successfully passing 3 rigorous tests over a minimum 3 year time frame.  No other industry designation provides the breadth and depth of knowledge expressly for the purpose of enhancing skill in the professional management of client assets.

CFA Website