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Jason Caplan

Advice and Planning Services
15 Years of Experience
Memphis, TN
1 DisclosureBroker
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Jason Caplan is a registered investment advisor at Advice and Planning Services, based in Memphis, TN, with 15 years of industry experience. Jason is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning. Their firm serves 72,503 clients with $38B in assets under management.

Advice and Planning Services
Compensation
Fee-Only (% of Portfolio)
Firm Size
1692 advisors
Number of Clients
72,503 clients
Average Client Portfolio
$523K average
Assets Under Management
$37.9B

Fee Structure

Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.15%

Rates vary by managed account program. TIAA Portfolio Advisor uses a tiered schedule ranging from 1.15% down to 0.40% annually. Private Asset Management ranges from 0.90% down to 0.40% for blended portfolios plus transaction costs, and 0.15% for fixed income portfolios plus transaction costs.

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

Location

6000 Poplar Avenue, Office 207, 232, Suite 250, Memphis, TN, 38119

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History

Regulatory History (1)
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Customer Dispute
April 2025
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jason provides music instruction, dedicating a few hours per week to guitar lessons. He also participates in educational activities for Memphis Friends of Israel, spending a few hours per week on this.

Employment History
Current Registrations
Advice and Planning Services
August 2016 - Present · 10 yrs 2 mos
Tiaa-Cref Individual & Institutional Services, LLC
August 2016 - Present · 10 yrs 2 mos
Tiaa-Cref Individual & Institutional Services, LLCBroker
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2011 - June 2016 · 4 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2011 - June 2016 · 4 yrs 10 mos
State Registrations24 states
ALARCADCDEFLILINMIMNMSNCNJNVNYOHORPATNTXVAWAWIWY
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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