AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NF

Nicolas M. Flores

CAPRICORN INVESTMENT GROUP LLC
Boise, ID 83702
Some features on this profile are disabled
CRD#: 6109784
NF

Professional summary

Nicolas Michael Flores, who also goes by Nicolas Flores, is a registered financial advisor currently at CAPRICORN INVESTMENT GROUP LLC located in Boise, Idaho.

Nicolas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Nicolas has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicolas Flores

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) - RIA

Click below to view Nicolas Michael Flores'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

February 18, 2026 - Present

CAPRICORN INVESTMENT GROUP LLC

Office #1: 217 S. 11th Street, Boise, ID 83702
RIA
CRD#: 147417
Boise, ID
Past

September 30, 2014 - January 16, 2025

THE CAPROCK GROUP, LLC

RIA
CRD#: 124272
BOISE, ID
Past

September 27, 2012 - January 13, 2014

EMCOR SECURITIES INC.

BD
CRD#: 45722
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".
CI
CAPRICORN INVESTMENT GROUP LLC
CAPRICORN ADVISERS, LLC (RELYING ADVISER) | TIGF PARTNERS, LLC (RELYING ADVISER) | TIGF PARTNERS II, LLC (RELYING ADVISOR) | TIF PARTNERS, LLC (RELYING ADVISER) | TIF PARTNERS II LLC | SUSTAINABLE INVESTORS FUND GP S.À R.L. | SIF PARTNERS, LLC | CHSO PARTNERS II, LLC (RELYING ADVISER) | CHSO MANAGEMENT, LLC (RELYING ADVISER) | CAPRICORN-LIBRA PARTNERS, LLC (RELYING ADVISER) | CAPRICORN MANAGEMENT, LLC (RELYING ADVISER) | CAPRICORN INVESTMENT GROUP LLC

CRD#: 147417 / SEC#: 801-69602

RIA
Registered Investment Advisory firm - (9/18/2008 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
California
(2/19/2026)
IAR
Idaho
(2/18/2026)
IAR
New York
(2/19/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/30/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2012
General Securities Representative Examination

Current Firm

CI
CAPRICORN INVESTMENT GROUP LLC
CAPRICORN ADVISERS, LLC (RELYING ADVISER) | TIGF PARTNERS, LLC (RELYING ADVISER) | TIGF PARTNERS II, LLC (RELYING ADVISOR) | TIF PARTNERS, LLC (RELYING ADVISER) | TIF PARTNERS II LLC | SUSTAINABLE INVESTORS FUND GP S.À R.L. | SIF PARTNERS, LLC | CHSO PARTNERS II, LLC (RELYING ADVISER) | CHSO MANAGEMENT, LLC (RELYING ADVISER) | CAPRICORN-LIBRA PARTNERS, LLC (RELYING ADVISER) | CAPRICORN MANAGEMENT, LLC (RELYING ADVISER) | CAPRICORN INVESTMENT GROUP LLC

CRD#: 147417 / SEC#: 801-69602

RIA
Registered Investment Advisory firm - (9/18/2008 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
250 University Avenue Suite 300, Palo Alto, CA 94301
Mailing Address
Phone number
(650) 331-8800
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (3 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

CAPRICORN INVESTMENT GROUP LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts32
AUM (Assets Under Management)$ 12,466,367,985

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

CAPRICORN INVESTMENT GROUP LLC

CRD#: 147417Boise, ID 83702

TRUST BUT VERIFY

Monitor Nicolas Flores

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Burke Alexander Lodge
Burke LodgeAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Boise, ID
Chris Mitchell Crosby
Chris CrosbyAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Boise, ID
Jesse Lane Woods
Jesse WoodsAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
MERIDIAN, ID
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.