At Caplan Capital Management, Inc., we seek the convergence between our depth and breadth of portfolio management expertise with exceptional client experience. We derive great satisfaction in developing strong professional and personal relationships with our clients.
Caplan Capital Management, Inc. was founded in 1996 by Jonathan D. Caplan. After 14 years of working on Wall Street as an executive at major investment banks, Jonathan was inspired to use his entrepreneurial spirit to launch an independent investment advisory firm. With "Wall Street" expertise, he brings his knowledge of portfolio and risk management to "Main Street."
In 2018, Caplan Capital Management, Inc. affiliated with Atlas Private Wealth Alliance LLC, a registered investment advisory firm, that has helped to broaden the suite of products and services to address evolving client needs. Through our affiliation with Atlas, Caplan Capital now offers comprehensive services including financial planning, insurance and annuities.
THE CLIENT ONBOARDING PROCESS
Prospective Client Meetings
When prospective clients reach out to us, we perform our due diligence in terms of assessing a clients financial position, goals and risk tolerance. In our initial meeting we articulate our suite of services and clarify expectations of our level of service.
In our second meeting, we provide the prospective client with a recommended course of action. We entertain all client questions and concerns and endeavor to come to a consensus as to the advisability of pursuing the financial relationship.
Once we agree to move forward, the onboarding process begins. The client provides us with all documents to complete the applications and agreements necessary for opening account(s) and formalizing the terms of the relationship. We then prepare electronic documents for your electronic signature, after which the transfer process takes place.
Clients will be notified when the account openings, funding, and transfers are completed. Clients will be contacted by LPL Financial, the custodian for all our accounts, as to how to electronically access account information.
Ongoing Service and Communication
Following completion of the onboarding process, Caplan Capital will execute on the recommended investment strategy. We will meet with clients annually to reassess financial goals and risk tolerance for potential changes in strategy. We actively communicate with clients and provide access to our latest insights as well as notifications of upcoming company events. Moreover, we welcome client ad hoc inquiries and requests at all times.