THE CAPROCK GROUP, LLC
Adviser information for THE CAPROCK GROUP, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 50 |
|---|---|
| Investment Advisory/Research | 30 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 34 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 313 | $6.7B |
| Non-Discretionary | 4 | $251.3M |
| Total | 317 | $6.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 39 | $18.8M |
| HNW Individuals | 266 | $6.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 12 | $749.5M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 317 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)WEALTH MANAGEMENT & CONSULTING |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-61642 |
|---|---|
| SEC ERA File Number | 801-61642 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124272 |
| Legal Entity Identifier | None |
Principal Office
800 WEST MAIN STREETSUITE 1150
BOISE
ID
United States
Monday - Friday, 7:30 A.M. - 4:30 P.M.
Tel: (208) 368-9600, Fax: (208) 368-9602
Chief Compliance Officer
JEFFERSON JEWELL
MANAGING DIRECTOR / COO
800 WEST MAIN STREET
SUITE 1150
BOISE
ID
United States
Tel:
(208) 368-9600
Fax:
(208) 368-9602
J********@**********M
(Full email address available in API data)
Regulatory Contact
JESSICA HABERMAN
COMPLIANCE DIRECTOR
800 WEST MAIN STREET
SUITE 1150
BOISE
ID
United States
Tel:
(208) 368-9600
Fax:
(208) 368-9602
J******@**********M
(Full email address available in API data)
Industry Affiliates
| CAPROCK MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GUSTAFSON, MARK, KENNETH | Individual | – | CHIEF INVESTMENT OFFICER IMPACT | 01/2004 | 5-10% |
| ROCK, JAMES, RICHARD | Individual | – | CHIEF INVESTMENT OFFICER | 08/2005 | < 5% |
| GILBERT, WILLIAM, GORDON | Individual | – | CO-PRESIDENT | 08/2005 | 5-10% |
| BROWN, GREGORY, AARON | Individual | – | CO-PRESIDENT | 01/2007 | 5-10% |
| JEWELL, JEFFERSON, RICHARD | Individual | – | CHIEF OPERATING OFFICER / CHIEF COMPLIANCE OFFICER | 09/2015 | < 5% |
| Michael, Glenn, Thomas | Individual | – | CHIEF FINANCIAL OFFICER | 07/2018 | < 5% |
| TCG MIDCO, LLC | Domestic Entity | – | UNIT HOLDER | 12/2021 | > 75% |
| TA/TCG HOLDINGS, LLC | Domestic Entity | TCG MIDCO, LLC | UNIT HOLDER | 12/2021 | 50-75% |
| TCG HOLDINGS, INC. | Domestic Entity | TA/TCG HOLDINGS, LLC | UNIT HOLDER | 12/2021 | 25-50% |