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CAPLAN FINANCIAL GROUP, LLC

· CRD 119836 · IAPD ↗ · caplanfinancialgroup.com · 410-735-1905

$367.6MRegulatory AUM
2Advisory reps
6Employees
1Clients
101-250Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2024 — CAPLAN FINANCIAL GROUP, LLC (location n/a) left the SEC roster (was $367.6M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
63
February 2024 — CAPLAN FINANCIAL GROUP, LLC reported RAUM up 26% ($292.8M -> $367.6M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.