Rafael M. Capiro

Some features on this profile are disabled

CRD#: 3085980

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.

Rafael Martin Capiro, CFP® was a registered financial professional .

Rafael is a previously registered financial professional and started their career in finance in 1998. Rafael had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Past

October 26, 2020 - December 31, 2023

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Albany, OR

Past

December 7, 2010 - June 1, 2011

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

PASADENA, CA

Past

December 7, 2010 - November 6, 2020

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

PASADENA, CA

Past

December 6, 2010 - December 6, 2012

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

PASADENA, CA

Past

January 8, 2001 - December 6, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PASADENA, CA

Past

December 22, 2000 - December 6, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PASADENA, CA

Past

March 16, 2000 - August 22, 2000

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 25, 1998 - March 23, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

CREATIVEONE WEALTH, LLC

CRD#: 281213 / SEC#: 801-106677

RIA

Registered Investment Advisory firm - (9/25/2015 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: 9/11/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/1998

General Securities Representative Examination

Current Firm

CREATIVEONE WEALTH, LLC

CRD#: 281213 / SEC#: 801-106677

RIA

Registered Investment Advisory firm - (9/25/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6330 Sprint Pkwy Suite 400, Overland Park, KS 66211

Mailing Address

Phone number

(913) 402-7897

Established

Firm type

Fiscal year end

# of Employees

217

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CREATIVEONE WEALTH ADV PART 2A 03.31.2025 (4/15/2025)

Regulatory assets under management

Total Number of Accounts	29,437
AUM (Assets Under Management)	$ 4,828,907,475

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rafael M. Capiro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SORRENTO PACIFIC FINANCIAL, LLC

PARTNERVEST ADVISORY SERVICES LLC

SORRENTO PACIFIC FINANCIAL, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITICORP INVESTMENT SERVICES

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CREATIVEONE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1998

Series 63

Date: 8/26/1998

Series 7

Date: 8/24/1998

Current Firm

CREATIVEONE WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CREATIVEONE WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors