RIA Intel›Advisers›CAPLAN FINANCIAL GROUP, LLC

CAPLAN FINANCIAL GROUP, LLC

Advisory

N·

Data as of Jan 24, 2024 · Source: SEC Form ADV

Total AUM

$368M

1-Year AUM Growth

+25.6%

3-Year CAGR

+13.3%

Employees

2

Assets Under Management

Total AUM$368M

Discretionary AUM$365M

Non-Discretionary AUM$2M

Discretionary %99.3%

Total Clients—

Team

Total Employees2

Investment Advisers6

Employee Growth (1Y)—

Filing History

Total Filings on Record37

First FilingMay 15, 2007

Latest FilingJan 24, 2024

🔒 Full AUM trend chart and 37 historical filings spanning 17+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on CAPLAN FINANCIAL GROUP, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.