Caplan Financial Group LLC

Assets, Funds, Holdings

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Regulatory AUM vs AUM

Type	Result	AUM ($B)

Caplan Financial Group LLC ✚
CRD #	119836
SEC #	801-67950
CIK #
AUM
Employees	6 (33% Investors, 0% Brokers)
Phone	410-735-1905
Address	11810 Chapel Estates Drive Clarksville, MD 21029
Source	[IAPD] [Website]

Total AUM ($M) Copy

AUM Breakdown	Accounts	AUM ($M)
By Client Type
(a) Individuals (other than high net worth individuals)	54	39.0
(b) Individuals (high net worth individuals)	113	323.8
(c) Banking or thrift institutions	0	0.0
(d) Investment companies	0	0.0
(e) Business development companies	0	0.0
(f) Pooled investment vehicles	0	0.0
(g) Pension and profit sharing plans	0	4.7
(h) Charitable organizations	0	0.0
(i) State or municipal government entities	0	0.0
(j) Other investment advisers	0	0.0
(k) Insurance companies	0	0.0
(l) Sovereign wealth funds and foreign official institutions	0	0.0
(m) Corporations or other businesses not listed above	0	0.0
(n) Other	0	0.0
Total	1,077	367.6
By Discretionary
Discretionary	1,072	365.1
Non-Discretionary	5	2.5
Total	1,077	367.6
By Non-United States Persons
Non-United States Persons		0.0
United States Persons		367.6
Total	1,077	367.6

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