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

Principal

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.

Services:

  • 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

CEO/President

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.

Education

Education

M.B.A

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