Michael Scott Caplan
Investment Adviser Representative at Invictus Private Wealth, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Michael Scott Caplan is an investment adviser representative with Invictus Private Wealth, LLC in Denver, CO, where they have been registered since 2022. They have worked in the securities industry since 2009 and have been registered with 3 firms, including UBS Financial Services Inc. and Morgan Stanley. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 31 (managed futures). They are registered to provide investment advice in Colorado and Texas.
Registrations & licenses
- Investment adviser:
- Colorado, Texas
- Broker:
16 states and territories
California, Colorado, Florida, Illinois, Kentucky, Maryland, Massachusetts, New Mexico, New York, Oklahoma, Pennsylvania, South Carolina, South Dakota, Tennessee, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- UBS Financial Services IncJan 2014 – May 2022Denver, CO
- Purshe Kaplan Sterling Investments, Inc.May 2022 – no end date reportedDenver, CO
- Invictus Private Wealth, LLCMay 2022 – no end date reportedDenver, CO
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Invictus Private Wealth, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $1,000,000
- Estimated blended rate
- 0.02
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Denver, CO
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Scott Caplan has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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