Unclaimed Profile

Robert Ethan Caplan

RIVER WEALTH ADVISORS LLC·HARRISBURG, Pennsylvania

Series 7, Series 63, Series 65Clean record31 years registeredRIVER WEALTH ADVISORS LLC

3401 NORTH FRONT STREET, HARRISBURG, PA 17110CRD# 2479121Firm CRD# 173767

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robert Ethan Caplan · HARRISBURG, PA

Registration

CRD #2479121 · RIVER WEALTH ADVISORS LLC · 31 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: RIVER WEALTH ADVISORS LLC

RIVER WEALTH ADVISORS LLC

May 2016 – Jul 2022

CAMP HILL, PA

FMA ADVISORY INC

Jan 1995 – Dec 2015

HARRISBURG, PA

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · January 3, 1995

Years registered · 31

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

RIVER WEALTH ADVISORS LLC

CRD 173767 · SEC 801-80629

AUM

$1.1B

Regulatory assets under management

Employees

2,257 client accounts

Services offered by RIVER WEALTH ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at RIVER WEALTH ADVISORS LLC →

Introduction

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Frequently Asked Questions

What services does Robert Ethan Caplan offer?

Robert Ethan Caplan specializes in Financial Planning, Investment Management, Wealth Management.

What are Robert Ethan Caplan's credentials?

Robert Ethan Caplan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Ethan Caplan located?

Robert Ethan Caplan is based in HARRISBURG, Pennsylvania, last registered with RIVER WEALTH ADVISORS LLC.

How does Robert Ethan Caplan charge for services?

Robert Ethan Caplan's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RIVER WEALTH ADVISORS LLC?

RIVER WEALTH ADVISORS LLC has approximately 17 employees and manages $1.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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