Caplight Markets LLC

Broker-DealerFINRA MemberEst. 2000
Total AUM
—
Advisory reps
8
Avg account
$0

Firm details

Headquarters
San Francisco, California
CRD number
103970
Registered since
September 25, 2000

Firm profile

FINTRX

Overview

Caplight Markets LLC is organized as a limited liability company and has been SEC-registered since 2000. Filings identify its owner type as a domestic entity and individual(s) and classify the firm as “unclassified.” The record does not describe the firm’s business activities, advisory focus, client types, or fee arrangements. Regulatory attributes listed for the firm indicate it is not an active ESG investor, is not registered as a multistate adviser, is not newly formed, and does not identify as a pension consultant or a related adviser. The available disclosures are minimal and do not provide a clear picture of investment strategy or client services.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Javier Avalos

    Javier Avalos

    Co-Founder & CEOCRD 5836369

  • Maria Rabinovich

    Maria Rabinovich

    Chief Compliance OfficerCRD 4560548

Contacts

3 of 6
  • William Richardson

    William Richardson

    Registered RepresentativeCRD 7140720

  • Michael Chung

    FinOpCRD 5739877

  • Richard McDonough

    Business Development AssociateCRD 7266457

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

San Francisco, CA

San Francisco

Location

San Francisco, CA

Headquartered in San Francisco, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
San Francisco
Address
531 Howard St
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth