Nicholas D. Appelo

CAPCO ASSET MANAGEMENT

Jacksonville, FL

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CRD#: 6491778

Professional summary

Nicholas Daniel Appelo is a registered financial advisor currently at CAPCO ASSET MANAGEMENT, LLC located in Jacksonville, Florida.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Nicholas has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Nicholas Daniel Appelo'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 5, 2026 - Present

CAPCO ASSET MANAGEMENT, LLC

RIA

CRD#: 141325

Jacksonville, FL

Past

December 20, 2019 - May 6, 2022

CAPCO ASSET MANAGEMENT, LLC

RIA

CRD#: 141325

TAMPA, FL

Past

July 17, 2017 - July 25, 2019

EVERCORE GROUP L.L.C.

CRD#: 42405

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".

CAPCO ASSET MANAGEMENT, LLC

CRD#: 141325 / SEC#: 801-110809

RIA

Registered Investment Advisory firm - (7/13/2017 Approved)

Florida

Registered Investment Advisory firm - (8/15/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(1/5/2026)

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: 12/20/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 7/17/2017

Investment Banking Registered Representative Examination

Current Firm

CAPCO ASSET MANAGEMENT, LLC

CRD#: 141325 / SEC#: 801-110809

RIA

Registered Investment Advisory firm - (7/13/2017 Approved)

Florida

Registered Investment Advisory firm - (8/15/2017 Terminated)

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Contact information

Main Address

101 E Kennedy Blvd # 1425, Tampa, FL 33602

Mailing Address

Phone number

(813) 805-0777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPCO ASSET MGMT BROCHURE SEPTEMBER 29 1017 (4/18/2025)

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 458,534,377

Red Flags

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

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Nicholas D. Appelo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Daniel Appelo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPCO ASSET MANAGEMENT, LLC

EVERCORE GROUP L.L.C.

Primary Firm SEC Registration

CAPCO ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2025

Series 63

Date: 7/21/2017

SIE

Date: 10/1/2018

Series 79

Date: 7/17/2017

Current Firm

CAPCO ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPCO ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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