Caplo Advisory LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$7,200,000
Total clients
33
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
33
Average account size
$218,182
About
Caplo Advisory LLC provides asset management and financial planning and consulting services to individuals (including high net worth clients), corporations, and other business entities. The firm offers continuous supervision of custodial accounts and project-based financial planning on topics such as retirement, tax planning, insurance, cash flow, and education and charitable planning.
The firm uses both fundamental and technical analysis and applies long- and short-term investment strategies, with recommendations tailored to each client’s Investment Policy Statement. Caplo may manage accounts on a discretionary basis when authorized, conducts periodic reviews, and delivers regular advisory reports to clients.
Notably for a recently formed independent adviser, Caplo includes portfolio management for corporate and other institutional clients, a capability that is uncommon among peers in this category. The brochure also highlights a wide scope of planning and consulting services—business financial planning, mortgage and debt analysis, and real estate analysis—that can be provided separately or alongside ongoing asset management.
Client services
Financial planning
Portfolio management
Expertise
General tax planning
Cash flow / budgeting
Charitable giving & philanthropy
College savings (529s, UTMA, etc.)
Fee options
$0 - $250,000: 1.75% $250,001 - $750,000: 1.50% $750,001 - $3,000,000: 1.25% $3,000,001+: Negotiable
$350 per hour
Main office location
Caplo Advisory LLC
717 Texas Ave., Floor 12 Ste 58
Houston TX 77002, United States
Number of offices
1
Most active in
Caplo Advisory LLC has reported serving >5 clients in these states in the last 12 months.
Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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