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CAPRICE CAPITAL PARTNERS, LLC

· CRD 307048 · IAPD ↗ · capricecapital.com · 310-893-5070

$123.2MRegulatory AUM
3Advisory reps
5Employees
0Clients
n/aPlanning clients
2Private funds
3States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

30
April 2026 — CAPRICE CAPITAL PARTNERS, LLC reported RAUM down 43% ($214.4M -> $123.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
35
April 2026 — CAPRICE CAPITAL PARTNERS, LLC added office(s): 3 -> 4 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
27
April 2025 — CAPRICE CAPITAL PARTNERS, LLC notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
30
April 2025 — CAPRICE CAPITAL PARTNERS, LLC reported RAUM down 35% ($330.7M -> $214.4M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
38
April 2024 — CAPRICE CAPITAL PARTNERS, LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

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