{"url":"https://nivawealth.com/firms/capula-investment-us-157589","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157589","regulatoryAum":137437353519,"crd":"157589","secFileNumber":"801-73189","legalName":"Capula Investment US LP","displayName":"Capula Investment US","website":null,"founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"December","headquarters":{"street":"510 Madison Avenue, 9th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10022"},"tradeNames":[],"registration":{"secApproved":"30 March 2012","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":80,"advisory":51,"brokerDealerReps":2,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":137437353519,"discretionaryAccounts":8,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":88,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":7,"regulatoryAum":137412520534},{"label":"Other","clients":1,"regulatoryAum":24832985}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"The Bank of New York Mellon, London Branch","shortName":"The Bank of New York Mellon, London Branch","location":"London","smaAssets":24832985}],"custodyNote":"Capula Investment US has custody of $34.25B for 7 clients.","otherCustodians":[],"leadership":[{"name":"Nathan Tranter","title":"US Chief Compliance Officer","crd":"8115203"},{"name":"Mark Barnett","title":"Head of Capula New York","crd":"6511962"}],"ownership":[{"label":"Capula Management US LLC","detail":"General partner in the 75% or more ownership band and a control person, since December 2009."},{"label":"Yan Huo","detail":"Indirect owner: a shareholder of Capula Management Limited in the 25% to 50% band and a control person, since October 2005.","parent":"Capula Management Limited"},{"label":"Capula Management Limited","detail":"Indirect owner: a shareholder of Capula Management US LLC in the 75% or more band and a control person, since December 2009.","parent":"Capula Management US LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":4},"listedOfficeAddresses":2,"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"1111 Lincoln Road","city":"Miami Beach"}]},{"state":"New York","offices":1,"addresses":[{"street":"510 Madison Avenue, 9th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"646-874-5400","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Other","percent":100,"detail":"Repurchase Agreements"}],"privateFunds":0},"sources":{"adv1FilingDate":"8 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157589/PDF/157589.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Capula Investment US have?","answer":"Capula Investment US has 8 clients and manages $137.4 billion for them, as of June 2026. They include 7 pooled investment vehicles and 1 other clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 8 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Capula Investment US offer?","answer":"Capula Investment US provides portfolio management for pooled vehicles and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Capula Investment US use?","answer":"Capula Investment US’s separately managed account assets are held at The Bank of New York Mellon, London Branch (London), with $24,832,985. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Capula Investment US have?","answer":"Capula Investment US has 0 investment adviser representatives registered with state securities authorities, out of 80 employees, and 51 perform investment advisory functions. 2 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Capula Investment US invest in?","answer":"At the end of its last fiscal year, Capula Investment US’s separately managed accounts held 100% repurchase agreements. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Capula Investment US?","answer":"Capula Investment US is owned through a chain of holding companies by Yan Huo. Its direct owner is Capula Management US LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 8 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Capula Investment US get paid?","answer":"Capula Investment US is paid through other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}