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Carlos Capacete

Kovack Advisors, INC.
40 Years of Experience
San Juan, PR
24 DisclosuresBroker
View SEC Summary
View SEC Summary

Carlos Capacete is a registered investment advisor at Kovack Advisors, INC., based in San Juan, PR, with 40 years of industry experience. Carlos is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
257 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1590 Ponce De Leon Ave, GM Group Plaza, STE 405, PMB 31, San Juan, PR, 00926

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History

Regulatory History (24)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2019
Settled
Customer Dispute
November 2019
Settled
Customer Dispute
October 2019
Settled
Customer Dispute
October 2019
Settled
Customer Dispute
September 2019
Settled
Customer Dispute
May 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
November 2018
Withdrawn
Customer Dispute
November 2018
Withdrawn
Customer Dispute
November 2018
Withdrawn
Customer Dispute
October 2018
Withdrawn
Customer Dispute
October 2018
Withdrawn
Customer Dispute
August 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
June 2018
Settled
Customer Dispute
March 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
November 2017
Settled
Customer Dispute
May 2017
Settled
Customer Dispute
March 2015
Settled
Customer Dispute
October 2014
Settled
Customer Dispute
May 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carlos operates West Indies Wealth Management, focusing on securities and administrative tasks. This investment-related activity takes about half of Carlos's time.

Employment History
Current Registrations
Kovack Advisors, INC.
August 2014 - Present · 12 yrs 2 mos
Kovack Securities INC.Broker
August 2014 - Present · 12 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
September 2013 - December 2013 · 3 mos
UBS Financial Services Incorporated of Puerto RicoBroker
July 2005 - August 2014 · 9 yrs 1 mo
UBS Financial Services INC.Broker
July 2005 - August 2014 · 9 yrs 1 mo
Santander SecuritiesBroker
April 2003 - July 2005 · 2 yrs 3 mos
UBS Painewebber Incorporated of Puerto RicoBroker
October 1990 - April 2003 · 12 yrs 6 mos
UBS Painewebber INC.Broker
February 1987 - April 2003 · 16 yrs 2 mos
Drexel Burnham Lambert IncorporatedBroker
August 1986 - February 1987 · 6 mos
State Registrations3 states
FLPRTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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