Michael Scott Caplan
CFP®Professional Summary
Michael Scott Caplan, CFP® is a registered financial advisor currently at INVICTUS PRIVATE WEALTH, LLC located in Denver, Colorado and PURSHE KAPLAN STERLING INVESTMENTS located in Denver, Colorado. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
INVICTUS PRIVATE WEALTH, LLC | THE CAPLAN GROUP - PRIVATE WEALTH MANAGEMENT, LLC
Contact Information
Main Address
Denver, COMailing Address
Pmb 464 2921 W 38th Ave, Denver, CO 80211Phone Number
(720) 734-2460# of Employees
6SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,754AUM (Assets Under Management)
$1,713,015,278Similar Advisors
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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.
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Primary Firm SEC Registration
INVICTUS PRIVATE WEALTH, LLC | THE CAPLAN GROUP - PRIVATE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(5/20/2022)
(5/19/2022)
(5/20/2022)
(5/20/2022)
(7/31/2024)
(12/24/2024)
(5/20/2022)
(10/21/2024)
(5/20/2022)
(5/7/2025)
(5/20/2022)
(5/20/2022)
(5/20/2022)
(10/11/2023)
(5/20/2022)
(5/19/2022)
(5/20/2022)
(5/7/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Scott Caplan's CRS (Customer Relationship Summary).
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