{
  "crd_number": 312295,
  "slug": "caplo-advisory-llc-houston-tx-312295",
  "primary_business_name": "CAPLO ADVISORY LLC",
  "legal_name": "CAPLO ADVISORY LLC",
  "dbas": [],
  "city": "Houston",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "26420",
  "metro": {
    "cbsa_code": "26420",
    "common_name": "Houston",
    "msa_name": "Houston-Pasadena-The Woodlands, TX",
    "path": "/advisors/tx/houston"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2023-02-06",
  "years_registered": 3,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 18000000.0,
  "raum_discretionary": 18000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 18000000.0,
      "count": 10
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "TX"
  ],
  "websites": [
    "https://caploadvisory.com",
    "https://facebook.com/caploadvisorygroup",
    "https://instagram.com/caploadvisory",
    "https://linkedin.com/company/caplo-advisory",
    "https://tiktok.com/@caploadvisory"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/312295",
  "city_as_filed": "HOUSTON",
  "url": "https://advisorcensus.com/firm/caplo-advisory-llc-houston-tx-312295",
  "display_name": "Caplo Advisory LLC",
  "summary": "Caplo Advisory LLC is a state-registered investment advisory firm in Houston, TX, registered since 2023, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Caplo Advisory LLC (CRD 312295): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Caplo Advisory LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Caplo Advisory LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "Where is Caplo Advisory LLC located?",
      "a": "Caplo Advisory LLC's principal office is in Houston, TX, according to its Form ADV."
    },
    {
      "q": "Is Caplo Advisory LLC registered with the SEC or a state?",
      "a": "Caplo Advisory LLC is a state-registered investment advisory firm, registered since 2023. Status as filed: APPROVED. CRD 312295."
    },
    {
      "q": "How much does Caplo Advisory LLC manage?",
      "a": "Caplo Advisory LLC reports $18,000,000 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "What types of clients does Caplo Advisory LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (10)."
    },
    {
      "q": "Does Caplo Advisory LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/312295"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/caplo-advisory-llc-houston-tx-312295.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 10,
      "fewer_than_5": false,
      "raum": 18000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/312295",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}