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Caplan Capital Management, Inc. has developed Proprietary Portfolio Models with carefully selected equities and funds. Our portfolios are constantly monitored for strategic allocations. Based on market dynamics, as well as tax considerations, portfolios are opportunistically rebalanced and/or reconstituted .  Each strategy is designed and maintained to help portfolios perform in alignment with each client's unique goals and risk tolerance. 


Objective: To invest in a portfolio of primarily domestic equities with a value orientation that can generate long-term attractive returns with a lower than market risk profile.

Philosophy: Our core investment philosophy is that the probability of long-term success in equity investing is highly dependent on the combination of a carefully selected portfolio of stocks along with a holistic assessment of risk across the portfolio. Stock selection is predicated on a comprehensive and dispassionate analysis of value and risk.

Process: Through rigorous research and intense modeling, we closely analyze stocks, sectors, and macro factors to create a diversified and risk-balanced equity portfolio. Selection criteria include critical factors such as: financial strength, sustainability of growth fundamentals, a seasoned and disciplined management team, and the ability to withstand a variety of macroeconomic risk factors.

We employ a disciplined and dynamic process for determining price levels for entry and exit points as well as for optimally sizing of each position within the portfolio.

Objective: To invest in a portfolio that generates higher income than a traditional equity portfolio while maintaining lower portfolio risk and volatility.

Philosophy: By selecting equities from the low end of the risk spectrum, and overlaying the portfolio with the more attractive sectors of the fixed income market, we expect to generate prodigious risk adjusted returns.

Process: We employ a multi-track approach in constructing an optimal portfolio mix:

  1. Equity portion consists of generally higher yielding and deeper value stocks.

  2. Fixed income portion is focused on sub-sectors that we believe represent the best risk adjusted value.

  3. Determination of an optimal mix of equities and fixed income, given market conditions, with the following target allocation ranges:

    1. 40-70% Equities

    2. 30-60% Fixed Income

Balanced growth
risk-adjusted asset allocation

Objective: We seek to find the convergence of fundamental value investing and global macro asset allocation with the goal of generating alpha with keen attention to downside risk mitigation.

Philosophy: By identifying undervalued asset classes and optimally combining those asset classes into a portfolio, we endeavor to generate risk-adjusted real returns that can grow capital with limited drawdowns.

Process: We have a multi-step process of constructing and maintaining a well-balanced investment portfolio in terms of expected anticipated returns, volatility and correlations. These steps include:

  1. Qualitative assessment of prospective risk and return of major asset classes including global equities, global fixed income, and commodities.

  2. Creation of a matrix of asset class correlations.

  3. Quantitative iterative process of finding the ideal mix of asset classes.

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