{
  "crd_number": 147417,
  "slug": "capricorn-investment-group-llc-new-york-ny-147417",
  "primary_business_name": "CAPRICORN INVESTMENT GROUP LLC",
  "legal_name": "CAPRICORN INVESTMENT GROUP LLC",
  "dbas": [
    "CAPRICORN ADVISERS, LLC (RELYING ADVISER)",
    "CAPRICORN MANAGEMENT, LLC (RELYING ADVISER)",
    "CAPRICORN-LIBRA PARTNERS, LLC (RELYING ADVISER)",
    "SIF PARTNERS, LLC",
    "SUSTAINABLE INVESTORS FUND GP S.A R.L.",
    "TIF PARTNERS II LLC",
    "TIF PARTNERS, LLC (RELYING ADVISER)",
    "TIGF PARTNERS II, LLC (RELYING ADVISOR)",
    "TIGF PARTNERS, LLC (RELYING ADVISER)"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2008-09-18",
  "years_registered": 18,
  "period": "2026-10-01",
  "filing_date": "2026-09-18",
  "carried_forward": false,
  "raum_total": 18852861507.0,
  "raum_discretionary": 13758605189.0,
  "raum_non_discretionary": 5094256318.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 46,
  "advisory_employees": 16,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 1633635422.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 5277792168.0,
      "count": 5
    },
    "pooled_investment_vehicles": {
      "raum": 11941433917.0,
      "count": 27
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "ID",
    "NY"
  ],
  "websites": [
    "https://capricornllc.com",
    "https://linkedin.com/company/capricorn-investment-group"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/147417",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/capricorn-investment-group-llc-new-york-ny-147417",
  "display_name": "Capricorn Investment Group LLC",
  "summary": "Capricorn Investment Group LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2008, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 18, 2026.",
  "citation": "AdvisorCensus. Capricorn Investment Group LLC (CRD 147417): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Capricorn Investment Group LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Capricorn Investment Group LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Capricorn Investment Group LLC located?",
      "a": "Capricorn Investment Group LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Capricorn Investment Group LLC registered with the SEC or a state?",
      "a": "Capricorn Investment Group LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 147417."
    },
    {
      "q": "How much does Capricorn Investment Group LLC manage?",
      "a": "Capricorn Investment Group LLC reports $18,852,861,507 in regulatory assets under management in its Form ADV filing dated September 18, 2026 (73% discretionary)."
    },
    {
      "q": "How have Capricorn Investment Group LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Capricorn Investment Group LLC: Regulatory assets under management: $8,495,481,185 in the October 2021 data and $18,852,861,507 in the October 2026 data, up 122%. Total employees: 34 in October 2021 and 46 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Capricorn Investment Group LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (27); high net worth individuals (5); charitable organizations (2)."
    },
    {
      "q": "Which custodians does Capricorn Investment Group LLC use?",
      "a": "Capricorn Investment Group LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Goldman Sachs & Co. LLC and J.P. Morgan Securities LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Capricorn Investment Group LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/147417"
    },
    {
      "q": "What changed in Capricorn Investment Group LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Added an office in Menlo Park, CA. No longer lists an office in Palo Alto, CA."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 8495481185.0,
      "total_employees": 34,
      "filing_date": "2021-08-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 9699860732.0,
      "total_employees": 32,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 8728908819.0,
      "total_employees": 32,
      "filing_date": "2023-04-17"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 9404046046.0,
      "total_employees": 32,
      "filing_date": "2024-03-28"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 12466367985.0,
      "total_employees": 41,
      "filing_date": "2025-04-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 18852861507.0,
      "total_employees": 46,
      "filing_date": "2026-09-18"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Added an office in Menlo Park, CA.",
        "No longer lists an office in Palo Alto, CA."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 12 to 16.",
        "Regulatory assets under management went from $12,466,367,985 to $18,852,861,507 (+51%).",
        "Added an office in Palo Alto, CA.",
        "No longer lists an office in New York, NY.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "No longer lists the business name Sustainable Investors Fund GP S.À R.L..",
        "Added the business name Sustainable Investors Fund GP S.A R.L..",
        "Added an office in Boise, ID."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Goldman Sachs & Co. LLC",
      "name_as_filed": "GOLDMAN SACHS & CO. LLC",
      "affiliated": false
    },
    {
      "name": "J.P. Morgan Securities LLC",
      "name_as_filed": "J.P. MORGAN SECURITIES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/capricorn-investment-group-llc-new-york-ny-147417.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 5,
      "fewer_than_5": false,
      "raum": 5277792168.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 27,
      "fewer_than_5": false,
      "raum": 11941433917.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 1633635422.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/147417",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}