Neil Kaplan is a registered investment advisor at Caitlin John, LLC, based in Brighton, MI, with 8 years of industry experience. Neil operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 733 clients with $180M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Caitlin John offers investment management under either a wrap fee program (CJWFP) or a non-wrap fee arrangement. The wrap fee cannot exceed 2.48%, and the non-wrap fee cannot exceed 3.0%. Fees are negotiable and may be structured as tiered, tapered, or fixed. The fees cover advisory services, investment management oversight, administrative and custodial services, and may include the use of a third-party investment advisor.
Location
1024 E. Grand River Ave, Suite B, Brighton, MI, 48116
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Regulatory History
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
Neil is the owner and agent of KIS Financial, LLC, a business focused on college funding solutions and insurance products, since 2006. He spends about 10-20% of his time on insurance sales and marketing, with half of that time occurring during securities trading hours.
Employment History
Current Registrations
Caitlin John, LLC
Previous Registrations
Guardian Pointe Private Wealth Management, LLC
State Registrations1 state
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