David J. Rapozo

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CRD#: 2961241

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David James Rapozo, who also goes by Dave Rapozo, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2000. David had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Rapozo

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.

Rapozo Ventures, LLC is an investment-related business located at 1304 Canoe Brook Drive, Austin, Texas 78746. Rapoze is the founder and managing director. Rapozo Ventures, LLC is involved with the sales of Eppler Capital Funds. Eppler Capital Funds is located at 901 Market Street, Suite 3020, Philadelphia, PA 19107. Eppler Capital provides private investment offerings only available to "accredited investors," as defined by Rule 501(a) of Regulation D of the Securities Act of 1933, as amended. The start date of the relationship with Eppler Capital Funds is April 29, 2025. The expectation is 10-20 hours per month with duties related to the sales and introductory description of the Eppler Capital Funds offerings to "accredited investors."

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 29, 2025 - October 15, 2025

CAP SIX ADVISORS

RIA

CRD#: 325164

Austin, TX

Past

September 13, 2011 - February 19, 2025

DIMENSIONAL FUND ADVISORS LP

RIA

CRD#: 106482

AUSTIN, TX

Past

February 8, 2011 - February 19, 2025

DFA SECURITIES LLC

CRD#: 10292

AUSTIN, TX

Past

July 28, 2008 - December 20, 2010

BLACKROCK FUND DISTRIBUTION COMPANY

CRD#: 146183

SAN FRANCISCO, CA

Past

June 21, 2000 - December 31, 2008

BLACKROCK EXECUTION SERVICES

CRD#: 39438

CHICAGO, IL

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".

CAP SIX ADVISORS

CAP SIX ADVISORS | CAP SIX ADVISORS LLC

CRD#: 325164 / SEC#: 801-131815

RIA

Registered Investment Advisory firm - (1/13/2025 Approved)

Texas

Registered Investment Advisory firm - (6/15/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2021

General Securities Principal Examination

Current Firm

CAP SIX ADVISORS

CAP SIX ADVISORS | CAP SIX ADVISORS LLC

CRD#: 325164 / SEC#: 801-131815

RIA

Registered Investment Advisory firm - (1/13/2025 Approved)

Texas

Registered Investment Advisory firm - (6/15/2023 Approved)

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Contact information

Main Address

1919 Decatur Street, Houston, TX 77007-7636

Mailing Address

1929 Sunset Blvd., Houston, TX 77005-1648

Phone number

(281) 671-7982

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A (10/20/2025)

ADV2B (10/20/2025)

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 268,173,835

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Rapozo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DIMENSIONAL FUND ADVISORS LP

DFA SECURITIES LLC

BLACKROCK FUND DISTRIBUTION COMPANY

BLACKROCK EXECUTION SERVICES

Primary Firm SEC Registration

CAP SIX ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/2011

Series 63

Date: 8/29/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2000

Series 24

Date: 8/4/2021

Current Firm

CAP SIX ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAP SIX ADVISORS

TRUST BUT VERIFY

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