Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 65
Experience Industry experience
9 years
Location
Germantown, MD
SimplyRIA Advisor Network
Team
Neil Kaplan is a Series 65-licensed financial advisor with eight years of industry experience. He is currently with Caitlin John, LLC and previously worked at Guardian Pointe Private Wealth Management, LLC. Outside of his advisory role, he owns and operates KIS Financial, LLC, a business focused on college funding solutions and insurance products. Caitlin John, LLC serves retail and high-net-worth individuals, trusts, qualified retirement plan sponsors, and other institutions, offering investment management, financial planning, consulting, and qualified retirement plan services. The firm provides personalized investment programs through a team of registered investment adviser representatives, utilizing a range of strategies and instruments, including proprietary dynamic allocation strategies and consulting on non-traditional investments.
Based on SimplyRIA Advisor Network
Based on SimplyRIA Advisor Network
One-time fixed fees for financial planning engagements (amounts negotiable) and one-time fixed consulting fees
$0+: Negotiable up to 3.00% annually for non-wrap investment management services, tiered/blended, tapered/best-tier, or fixed/contracted fee structures possible $0+: Wrap fee up to 2.48% annually for Caitlin John Wrap Fee Program (legacy clients only)
Commission compensation received by licensed IARs for insurance products sold through outside business activities; separate from advisory fees
Hourly charges reported in SEC Form ADV Part 1 but not specifically detailed in brochure
Ongoing subscription planning fees billed monthly, quarterly, or semi-annually, negotiable based on engagement scope
Account minimum: $250,000 Minimum fee: $300 annual minimum investment management fee per account Fee-only: Financial planning fees typically range from $1,000 to $10,000 but may be more or less depending on scope and complexity; consulting fees negotiable including fixed, tiered, or percentage-based fees (up to 1.50% annually for AUA services); qualified retirement plan advisory fees up to 1.50% annually
Germantown, MD
Germantown MD
Advisors at this office
1
Maryland
9 years of industry experience
Caitlin John, llc
2022 - Present • 4 years
Brighton, MI
Guardian Pointe Private Wealth Management, LLC
2017 - 2022 • 5 years
Troy, MI
KIS Financial, LLC
2006 - Present • 20 years
Germantown, MD
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Verified by Warmer
Series 66, Series 7
North Bethesda, MD
Independent Financial Group, LLC
Ben Arie is a Series 66-licensed financial advisor with Independent Financial Group, LLC, based in North Bethesda, MD. He has four years of industry experience and previously worked at Plotkin Financial Advisors and APEX Home Loans. Outside of advising, he is involved in selling life insurance and annuities. Independent Financial Group, LLC is a dual-registered broker-dealer and SEC-registered investment adviser serving individuals, charities, corporations, and plan sponsors. The firm offers a variety of advisory programs through its AccessPoint platform and third-party asset managers, providing both discretionary and non-discretionary portfolio management.
Verified by Warmer
Series 66, Series 7, TPCP®
North Bethesda, MD
LPL Enterprise
Simeon’s role is to help clients create a coordinated financial strategy that aligns their investments, taxes, retirement income, and long-term goals into one cohesive plan. A big part of his approach is helping clients simplify complexity and make confident decisions during periods of uncertainty.
CFP®
Silver Spring, MD
Tender Wealth
Jessica Horner is a CFP® professional at Tender Wealth with experience that includes roles at Chevy Chase Trust and JMH Financial LLC. She also runs an after-school program combining ultimate-frisbee instruction with basic financial literacy lessons. Tender Wealth provides financial planning and consulting services to individuals and high-net-worth clients, offering educational seminars and workshops on financial literacy, budgeting, and retirement planning. The firm focuses on comprehensive planning and supports clients in implementing recommendations through custodians or brokers of their choice.
CFP®, Series 63
Chevy Chase, MD
Green View Advisors LLC
Christopher Rhim is a CFP® with 25 years of experience in the financial services industry. He is the principal of Green View Advisors LLC, where he has worked since 2008. The firm provides discretionary asset management, ongoing financial planning, and specialized divorce financial analysis for individual and trust clients. Green View Advisors manages approximately $25.2 million for a small roster of clients, using active management across multiple asset classes tailored through model portfolios and client risk assessments. The firm offers a formal divorce financial analysis service and focuses on individualized client service through a deliberately small client base.
Series 66
Gaithersburg, MD
Enroute Wealth Management, LLC
Edward Neveleff is a financial advisor at Enroute Wealth Management, LLC with 14 years of industry experience. He holds the Series 66 designation and has worked at CUNA Brokerage Services, Inc. and NRL Federal Credit Union prior to joining Enroute Wealth Management in 2019. Outside of his advisory role, he operates Senior Insurance Services, providing long-term care insurance servicing. Enroute Wealth Management offers portfolio management and financial planning primarily to individual and high-net-worth clients. The firm focuses on mutual funds, ETFs, annuities, and Treasury Inflation-Protected Securities, applying fundamental analysis and modern portfolio theory through a non-discretionary, long-term investment approach.
Series 65
Rockville, MD
H. Elliot Associates
Harold Hodges is a financial advisor with H. Elliot Associates holding a Series 65 designation. He has experience with the Maryland Lottery & Gaming Commission and the U.S. Department of State. H. Elliot Associates offers integrated asset management, financial planning, retirement and federal pension consulting, as well as tax preparation and representation services to individuals, federal employees, small business owners, and high-net-worth families. The firm specializes in federal retirement systems and provides IRS appellate advocacy and tax controversy representation alongside educational seminars on retirement, tax strategy, and estate planning.
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