CAPLAN FINANCIAL GROUP, LLC
Adviser information for CAPLAN FINANCIAL GROUP, LLC last updated from Form ADV on January 24th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,072 | $365.1M |
| Non-Discretionary | 5 | $2.5M |
| Total | 1,077 | $367.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 54 | $39.0M |
| HNW Individuals | 113 | $323.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $4.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-67950 |
|---|---|
| SEC ERA File Number | 801-67950 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119836 |
| Legal Entity Identifier | None |
Principal Office
11810 CHAPEL ESTATES DRIVECLARKSVILLE
MD
United States
Monday - Friday, 7:30AM - 5:00 PM
Tel: 410-735-1905, Fax: 443-817-0620
Websites
Chief Compliance Officer
MITCHELL CAPLAN
MANAGING MEMBER AND PRESIDENT
11810 CHAPEL ESTATES DRIVE
CLARKSVILLE
MD
United States
Tel:
410-735-1905
Fax:
443-817-0620
M****@***********************M
(Full email address available in API data)
Industry Affiliates
| EVEREST INTERNATIONAL GROUP, LLC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAPLAN, MITCHELL, MARC | Individual | – | MANAGING MEMBER, PRESIDENT, AND CHIEF COMPLIANCE OFFICER | 01/2002 | > 75% |