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BV

Benjamin H. Valore-caplan

IMA WEALTH
DENVER, CO 80202
Some features on this profile are disabled
CRD#: 4187136
BV

Professional summary

Benjamin Howard Valore-caplan, who also goes by Benjamin Howard Caplan, Benjamin Valore-caplan, is a registered financial advisor currently at IMA WEALTH located in Denver, Colorado.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Benjamin has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Benjamin Howard Caplan | Benjamin Valore-Caplan

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.
I am a partner in Vici LLC, the purpose of which is to invest in and manage a commercial real estate property. As such the LLC will receive periodic income which then will be distributed to the LLC partners.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Howard Valore-caplan's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 2, 2025 - Present

IMA WEALTH

Office #1: 1705 17th Street Suite 100, Denver, CO 80202
RIA
CRD#: 112091
DENVER, CO
Past

July 20, 2023 - January 3, 2025

SYNTRINSIC LLC

RIA
CRD#: 327054
DENVER, CO
Past

November 18, 2008 - December 31, 2023

SYNTRINSIC INVESTMENT COUNSEL, LLC.

RIA
CRD#: 147978
DENVER, CO
Past

December 21, 2001 - August 29, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
DENVER, CO
Past

June 26, 2000 - August 29, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
DENVER, CO

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".
IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)
BD
Terminated by SEC on 02/16/2024

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
Colorado
(1/2/2025)
IAR
Texas
(1/2/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 7/1/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2000
General Securities Representative Examination

Current Firm

IW
IMA WEALTH
IMA ADVISORY SERVICES, INC. | TRUENORTH, INC. | TRUENORTH SECURITIES, INC. | SYNTRINSIC | IMA WEALTH, INC. | IMA WEALTH | IMA RETIREMENT | IMA PRIVATE WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA
Registered Investment Advisory firm - SEC (2/5/2014 Approved)
BD
Terminated by SEC on 02/16/2024
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Contact information

Main Address
1705 17th Street Suite 100, Denver, CO 80202
Mailing Address
430 E Douglas Ave Suite 400, Wichita, KS 67202
Phone number
(316) 266-6574
Established
Kansas since 06/23/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
46

SEC notice filing (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

IMAAS PART 2A INVESTMENT ADV SERVICES (5/1/2025)
SYNTRINSIC (3/31/2025)
IMAAS PART 2A RETIREMENT PLAN SERVICES (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC.SHAREHOLDER
DAVIS, PATRICIA LYNNSVP, CCO, DIRECTOR5613123
HOLT, RICHARD WILLIAMPRESIDENT, DIRECTOR, CIO, FINOP2778485
PAULY, ERIC MICHAELGENERAL COUNSEL/SECRETARY7719772
POOL, SUSAN LOUISESENIOR VICE PRESIDENT/DIRECTOR3178683

Regulatory assets under management

Total Number of Accounts1,514
AUM (Assets Under Management)$ 3,158,410,252

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.

Company Information

IMA WEALTH

CRD#: 112091Denver, CO 80202

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