TrueAdvisor
TrueAdvisor
PC
CFP
PC
CFP

Peter Caplan

Commonwealth Financial Network
38 Years of Experience
Foxboro, MA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Peter Caplan is a CFP-designated registered investment advisor at Commonwealth Financial Network, based in Foxboro, MA, with 38 years of industry experience. Peter is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

Foxboro, MA

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Peter sells fixed insurance products from a branch location. He is also a managing member of Caplan Asset Management, LLC, an entity created for securities and insurance business.

Employment History
Current Registrations
Commonwealth Financial Network
October 1999 - Present · 27 yrs
Commonwealth Financial NetworkBroker
January 1999 - Present · 27 yrs 9 mos
Previous Registrations
Essex National Securities, INC.Broker
May 1994 - January 1999 · 4 yrs 8 mos
440 Financial Distributors, INC.Broker
February 1994 - May 1994 · 3 mos
Allmerica Investments, INC.Broker
July 1992 - March 1994 · 1 yr 8 mos
Commonwealth Equity Services, INC.Broker
November 1989 - July 1992 · 2 yrs 8 mos
Fidelity Brokerage Services, INC.Broker
October 1987 - May 1989 · 1 yr 7 mos
Fidelity Distributors CorporationBroker
December 1986 - February 1987 · 2 mos
State Registrations10 states
CAFLIDILMANCNJNYVAWA
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.
More Advisors
More financial advisors in Foxboro, MA →All financial advisors in Massachusetts →