Caplo Advisory LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$18,000,000
Clients
10
0% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
10
LowAverage account size
$1,800,000
About
Caplo Advisory LLC provides discretionary asset management and project-based financial planning and consulting to individual clients as well as corporate and other business clients. Its asset management services focus on custodial accounts invested across stocks, bonds, mutual funds, and ETFs, while planning work addresses retirement, tax strategies, insurance, cashflow, charitable, mortgage/debt, business, and real estate analysis.
The firm tailors recommendations through a written Investment Policy Statement and manages portfolios using both fundamental and technical analysis, employing long- and short-term strategies as appropriate. Accounts are reviewed periodically with at least annual formal reviews and quarterly account reporting, and clients may impose investment restrictions subject to the firm’s ability to service the account.
Caplo manages roughly $18 million in discretionary assets and, unlike many independent advisers that primarily serve retail individuals, also provides portfolio management for institutional clients such as corporations and other business entities, a service that is less common among its peers. The combination of discretionary portfolio management alongside one-off, detailed financial planning engagements across business and personal financial matters distinguishes the firm’s service mix for its size.
Client services
Financial planning
Portfolio management
Expertise
General tax planning
Cash flow / budgeting
Charitable giving & philanthropy
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
1203 Waugh Dr.
Houston TX 77019, 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:
-
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.
-
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.
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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
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