RK
Richard E. Kaplan
INSCRIPTION CAPITAL
Houston, TX 77098
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CRD#: 2944041
RK
Professional summary
Richard E Kaplan, CFA, who also goes by Ricard E Kaplan, Rick Kaplan, is a registered financial advisor currently at INSCRIPTION CAPITAL, LLC located in Houston, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ricard E Kaplan | Rick Kaplan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) PARTNER GRAND RSK MANAGEMENT,LLC; INVESTMENT RELATED; 3411 RICHMOND AVE #750 HOUSTON,TX 77046; NATURE: MANAGEMENT COMPANY OVERSEES ACTIVITIES OF GRAND RSK,LTD; GENERAL PARTNER; START DATE:SEPTEMBER 2012; # OF HRS/MONTH DEVOTED 5 HOURs; #OF HOURS DURING SECURITIES TRADING HOURS:5 HOUR; DUTIES: COMPLETE PAPERWORK, MANAGE PARTNERS,AND ACTIVITIES; 2.) GRAND RSK, LTD; INVESTMENT RELATED; 3411 RICHMOND AVENUE #750 HOUSTON, TX 77046; NATURE OF BUSINESS: TRUST THAT HOLDS VARIOUS ASSETS INCLUDING STOCKS, BONDS, R/E, AND P/E; START DATE: 09 2012; APPROX # OF HRS/MONTH DEVOTED: 1 HOUR ;#OF HOURS DURING SEC TRADING HOURS: 1 HOUR; DUTIES: TRUSTEE & FIDUCIARY INVESTMENT MANAGER; 3.) KAPLAN PR LLC.;GENERAL PARTNER; INVESTMENT RELATED;3411 RICHMOND AVENUE #750 HOUSTON, TX 77046; NATURE OF BUSINESS: PARTNERSHIP HOLDS SEVERAL REAL ESTATE HOLDINGS; START DATE OF: MAY 2013; # OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR; DUTIES:PROVIDE ADVICE & EXPERTISE; LAKE HOUSTON LOTS, 06/01/2018, NOT A CHARITABLE, CIVIC, RELIGIOUS OR FRATERNAL GROUP, PASSIVE INVESTMENT, PASSIVE INVESTMENT IN REAL ESTATE PARTNERSHIP, TRUSTEE, VOTE AS A REPRESENTATIVE OF THE KAPLAN FAMILY IN THE SELLING OF A PIECE OF PROPERTY, NOT JOB RELATED, 0HRS/PER MONTH, 0/HRS DURING MARKET, NO COMPENSATION; 4.) EMERY WEINER SCHOOL; NON INVESTMENT RELATED;SCHOOL; TREASURER OF THE BOARD (2017-2018);9825 STELLA LINK HOUSTON, TEXAS 77025;AUGUST 2016:# OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR;REVIEW FINANCIAL REPORTS, ANNUAL BUDGET, SIGN CHECKS; 5.) HOLOCAUST MUSEUM HOUSTON; NON INVESTMENT RELATED; FOUNDATION COMMITTEE MEMBER; COMMUNITY SERVICE; 5401 CAROLINE HOUSTON, TEXAS 77004; NOVEMBER 2011; # OF HRS/MONTH DEVOTED: 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: 1 HOUR; 6.) CONGREGATION BETH ISRAEL; NON INVESTMENT RELATED; RELIGIOUS INSTITUTION; INVESTMENT COMMITTEE MEMBER; AUGUST 2003; # OF HRS/MONTH DEVOTED: < 1 HOUR; NUMBER OF HOURS DURING SECURITIES TRADING HOURS: < 1 HOUR 5600 N. BRAESWOOD HOUSTON, TX 77096; REVIEW INVESTMENT PERFORMANCE AND ADVISE ON OTHER MATTERS; 7.) HUNTERS TRAIL LP; NON INVESTMENT RELATED; MANAGEMENT COMPANY OVERSEES ACTIVITIES OF HUNTERS TRAIL,LP; GENERAL PARTNER; START DATE:MARCH 2025; # OF HRS/MONTH DEVOTED (1 HOUR); #OF HOURS DURING SECURITIES TRADING HOURS (0 HOURS); DUTIES: COMPLETE PAPERWORK AND MANAGE PARTNERS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard E Kaplan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 4, 2019 - Present
INSCRIPTION CAPITAL, LLC
Office #1: 2925 Richmond Avenue Suite 425, Houston, TX 77098RIA
CRD#: 291780
Houston, TX
Past
August 28, 1999 - September 4, 2019
LEGACY ASSET SECURITIES, INC.
BD
CRD#: 47644
HOUSTON, TX
Past
August 19, 1998 - September 4, 2019
LEGACY ASSET MANAGEMENT, INC.
RIA
CRD#: 111423
HOUSTON, TX
Past
October 29, 1997 - September 24, 1998
USF SECURITIES, L.P.
BD
CRD#: 37942
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IC
INSCRIPTION CAPITAL, LLC
INSCRIPTION CAPITAL, LLC | WINDWARD LANE WEALTH ADVISORS, LLC | SOUND POST CAPITAL
CRD#: 291780 / SEC#: 801-112532
RIA
Registered Investment Advisory firm - (3/1/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(9/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IC
INSCRIPTION CAPITAL, LLC
INSCRIPTION CAPITAL, LLC | WINDWARD LANE WEALTH ADVISORS, LLC | SOUND POST CAPITAL
CRD#: 291780 / SEC#: 801-112532
RIA
Registered Investment Advisory firm - (3/1/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2925 Richmond Avenue Suite 425, Houston, TX 77098
Mailing Address
Phone number
(713) 673-8999
Established
Firm type
Fiscal year end
# of Employees
23
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,456 |
| AUM (Assets Under Management) | $ 1,556,528,803 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
