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CAPTION MANAGEMENT, LLC

OKLAHOMA CITY, OK · CRD 173841 · IAPD ↗ · captionpartners.com · 347-797-5101

$3.41BRegulatory AUM
12Advisory reps
22Employees
0Clients
n/aPlanning clients
1Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
April 2026 — CAPTION MANAGEMENT, LLC added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
57
April 2026 — CAPTION MANAGEMENT, LLC grew from 10 to 12 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
60
April 2025 — CAPTION MANAGEMENT, LLC reported RAUM up 80% ($1.71B -> $3.07B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
54
April 2024 — CAPTION MANAGEMENT, LLC reported RAUM up 48% ($1.15B -> $1.71B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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