John Alan Caplan
Investment adviser representative at Newedge Advisors
19 yearsExperience
1 stateRegistered in
$43.2BFirm assets
12 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
19 years in the industry.
- Newedge AdvisorsApr 2022 to now
- Newedge Securities, IncApr 2022 to now
- TIAAJun 2007 to Apr 2022
- TIAA-CREF Individual & Institutional Services, LLCJun 2007 to Apr 2022
Exams passed
- Series 66 · Uniform Combined State Law1999
State registrations
Registered as an investment adviser representative in 1 state (CT).
Newedge Advisors
Legal name: Newedge Advisors, LLC
$43.2BAssets managed
49,898Clients
603Advisers
12 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3166721
- Firm CRD
- 171351