Sean Caplen
Sean Caplen is a registered investment advisor at Kestra Advisory Services, LLC, based in Austin, TX, with 14 years of industry experience. Sean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 97,702 clients with $60B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kestra Advisory Services' (Kestra AS) fees for managing your investments are a percentage of the value of your portfolio, up to a maximum of 2.5% per year. The exact percentage is determined by your advisor based on factors like the size of your account, the type of account (e.g., retirement), the services you receive, and the platform you choose. These fees are negotiable.
Kestra AS offers different advisory platforms with varying program fees that are deducted from the client fee you negotiate with your advisor. These platforms include AdvisorEnterprise, Horizon, and AdvisorChoice. Each platform has different features, costs, and minimum account sizes.
There are also third-party managed solutions available through platforms like Focus Partners Advisor Solutions, Symmetry Partners, SEI and AssetMark.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
October 2018Other Business Activities
Sean works as an investment advisor representative (IAR) through Kestra Advisory Services and as a registered representative through Kestra Investment Services, dedicating full-time hours to these roles. He also serves as a member of Place of Hope's Planned Giving Council, spending minimal time on fundraising ideas.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
Kestra Advisory Services, LLC
Previous Registrations
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
National Securities CorporationBroker
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
State Registrations15 states
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.