Lance R. Caplin, CPM

  • Greater Denver Area, US Colorado
Lance R. Caplin, CPM

Business Development, Due Diligence and Compliance Officer

Work History

Work History
2013 - Present


Public Markets Funding Advisors

Public Markets Funding Advisors  is an Interface between Law firms Preparing Reg D Offerings and Sponsor Clients. Coordinates Capital Raising, FINRA/SEC Compliance, and Marketing.  An Ongoing Advisory Role is Played in Each Project and for Each Client.  A Board Level Management-Focused Approach Complemented with Client Discretion and Transaction Proficiency is Employed. 

Real Estate and Real Estate Securities Experience includes  P&L for $25 Billion Multifamily, Office, Retail, Commercial, and Industrial Portfolio. Acquisition/Disposition, Development/Redevelopment.  Secure $400+ Million in Equity Developing Selling Agreements with 250+ Broker Dealers, Family Offices, Hedge Funds, and Institutions. Leasing/Tenant Finish for 525,000 sq ft Chicago Tower with Secret Service and Homeland Security as Incoming Tenants.


  • Business Development 
  • Capital Markets Marketing and Crowd Funding
  • Advisory and Consulting Services
  • Acquisition/Disposition/Development/Redevelopment
  • Strategic Planning
  • Develop and Implement Business Plans
  • Secure Joint Venture Partners
  • Project Management
2012 - 2013

Director, Capital Markets

Richfield Orion International, Inc

Broker-Dealer, Member FINRA/SIPC.  Direct  Business Development for Managing BD focused on Small and Middle Market Companies Seeking $5-50 Million for Expansion Capital. Interface with Legal Counsel Preparing Offering Documentation, Structure Selling Groups and Marketing/Sales Strategy to Institutions, Family Offices, and Reps Affiliated with Broker Dealers.

2011 - 2012

Senior Vice President, Capital Markets

PVG Asset Management Corporation, CIM Securities Corporation

PVG is a Money Manager Approved on the RBC, Wells, and MSSB Platforms. Built Relationships with Reps and Increased Money Under Management by 20%.

2010 - 2011

Executive Vice-President

NelsonReid Inc., Managing Broker-Dealer

Broker-Dealer, Member FINRA/SIPC. Managing BD for Companies Seeking Investment/Expansion Capital. 45 Rep Sales Team. As Compliance/Due Diligence Officer Directed PPM (Private Placement Memorandum) Preparation and Marketing.  Developed High Quality Offering Increasing Sales from Under $10 Million to Over $50 Million. Sought to Buy Firm but Hampered by Preexisting FINRA Issues-Firm Closed.

2004 - 2010

Managing Broker

CEI Real Estate Inc.

 Business Development, Due Diligence, Transaction Analysis,  and Feasibility for  Real Estate Projects Supporting a Broad Range of Investigations including Fraud, Misappropriation of Funds,  and Breach of Fiduciary Duty. Resolution of Disputes and Litigation involving Real Estate, Finance, and Development.  Secure Debt/Equity Funding. Asset/Project Management Directing Acquisition/Disposition, Development /Renovation, Leasing/Sale - 25,000 Multifamily Units, 13 Million Square Feet Office, Retail, Commercial and Industrial Properties. Founder and CEO of National Healthcare Properties Packaging Medical Real Estate.

2003 - 2004

Senior Vice President, Capital Markets

Triple Net Properties, LLC

Secure 250+  Broker-Dealer Selling Agreements Directing Marketing  and Sale of Tenant-in-Common 1031 Exchanges. Coordinate Team Effort Raising  $350 Million in Private Placement & REIT Offerings. Interface with Clients, Attorneys, CPAs, Wealth Managers. Triple Net was the Nation's Largest Packager of Tenant-In-Common 1031 Exchanges and Merged with Grubb & Ellis in.

1987 - 2003


Cap Communications Co

Start-Up, Development, and Market Launch of Broadband and Cellular Technology in the US and Europe. CAPCOMM Built 110 Engineering and Deployment Teams and was Retained by Formus Communications, Europe (A $700 Million Venture Capital Startup) to Expedite Deployment of Broadband in 12 Countries. Negotiated Joint Venture with Lucent Technologies and European Partners Producing $80 million 1st Year Revenue Stream Serving Municipalities and the Justice Systems in Denmark. Clients Included Convergent Communications, Liberty Wirestar, High Speed Access Corporation, Jato Communications, Divine Tower International, AT&T/Bechtel.

1985 - 1986

Senior Vice President, Sales

CRI (Capital Realty Investors)

Senior Vice President, Sales.  Led a Sales Team Raising $400+ Million in Equity through the Broker-Dealer Channel in Less Than 12 Months. CRI packaged Private Placement Offerings for Merrill Lynch and other Broker-Dealers.




Wharton School University of Pennsylvania

Substantially completed, Interrupted by Military Service

BS Economics

Military Experience

US Army Security Agency, Captain

Top Secret, Cryptographic Clearance


Affiliations, Designations. Licenses

FINRA licensed – Series 7, 24, 31, 63, 66
Colorado Real Estate Broker, Colorado Insurance Licenses – Life, Health, Variable Contracts
Certified Property Manager (CPM), The Institute of Real Estate Management (IREM)
Wharton Club of CO – Founding Board Member, Treasurer
Vice President, Founding Board Member, Denver Telecom Professionals
Ethics Committee – The Tenant-In-Common Association (REISA today)
Past Member, NAREIT, National Association of Real Estate Investment Trust
ARES – Amateur Radio Emergency Service, Public Information Officer
FEMA - ICS (Incident Command System) Training – ICS 100,200,300,400,700,800
Denver Police Department – VIP Program