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John Capistran

Caplo Advisory LLC
18 Years of Experience
Houston, TX
2 Disclosures
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John Capistran is a registered investment advisor at Caplo Advisory LLC, based in Houston, TX, with 18 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 10 clients with $18M in assets under management.

Caplo Advisory LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
10 clients
Average Client Portfolio
$1.8M average
Assets Under Management
$18.0M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.75%
$250K - $750K1.50%
$750K - $3.0M1.25%
$3M+1.25%

Fees are negotiable. Planning fees may be waived if clients engage asset management services.

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

Location

1203 Waugh Dr., Houston, TX, 77019

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History

Regulatory History (2)
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.
Employment Separation After Allegations
November 2020
Customer Dispute
October 2016
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Caplo Advisory LLC
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Caplo Advisory LLC
February 2021 - December 2022 · 1 yr 10 mos
VALIC Financial Advisors, INC.
January 2009 - December 2020 · 11 yrs 11 mos
VALIC Financial Advisors, INC.Broker
April 2008 - December 2020 · 12 yrs 8 mos
State Registrations1 state
TX
Advisor

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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