CAPSTONE INVESTMENT ADVISORS (UK), LLP

• Principal Place of Business

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

  Web

  https://www.capstoneco.com

• Complaints Contact

  UK House

  2nd Floor

  2 Great Titchfield Street

  London

  W1D 1NN

  UNITED KINGDOM

  Phone

  +442035149024

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Thomas Leake

  IRN TXL01171

  • SMF27 Partner (since 18 Jul 2025)
  • [FCA CF] Client dealing (since 3 Mar 2023)
  • [FCA CF] Material risk taker (3 Mar 2023 to 18 Jul 2025)
• Thomas Nienaber

  IRN TXN01060

  • [FCA CF] Client dealing (4 Oct 2022 to 30 Nov 2023)
  • [FCA CF] Material risk taker (4 Oct 2022 to 30 Nov 2023)
• Thomas Stott

  IRN TXS01405

  • SMF27 Partner (since 17 Apr 2023)
  • [FCA CF] Material risk taker (1 Jan 2022 to 10 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Apr 2023)
  • CF4 Partner (28 Jun 2017 to 6 Dec 2019)
  • CF11 Money Laundering Reporting (2 Nov 2016 to 8 Dec 2019)
• Tong Jin

  IRN TXJ00066

  • [FCA CF] Client dealing (since 15 Aug 2024)
• Utsav Boobna

  IRN UXB01060

  • CF30 Customer (21 Dec 2017 to 7 Mar 2019)
  • CF4 Partner (21 Dec 2017 to 7 Mar 2019)
• Varun Balupuri

  IRN VXB00148

  • [FCA CF] Client dealing (14 Nov 2023 to 10 Jun 2024)
• William Kuhl

  IRN WXK01069

  • CF30 Customer (2 Jan 2008 to 14 Jul 2011)
  • CF10 Compliance Oversight (2 Jan 2008 to 15 Sep 2008)
  • CF4 Partner (2 Jan 2008 to 30 Jun 2010)
  • CF11 Money Laundering Reporting (2 Jan 2008 to 15 Sep 2008)
  • CF3 Chief Executive (2 Jan 2008 to 24 Mar 2011)
• Yannick Reyal

  IRN YXR22830

  • [FCA CF] Client dealing (14 Oct 2020 to 10 Feb 2022)
• Yew Ming Lim

  IRN YXL46179

  • [FCA CF] Client dealing (18 Apr 2024 to 12 Sep 2025)
• Yibo Song

  IRN YXS01161

  • CF30 Customer (5 Oct 2015 to 17 Oct 2018)

No changes recorded yet.