DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner19 years in industry

WHITNEY W WARMACK

Advisor at THE CAPROCK GROUP, LLC

BOISE, ID | Austin, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5400af2e-138b-10e1-0b8f-afc2c5d45cdd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 24, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THE CAPROCK GROUP, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 20, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 20, 2007
First registration: Jul 24, 2007
Dual registered: no
Other names: WHITNEY W HERRON
IAPD individual key: 5349630

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THE CAPROCK GROUP, LLC	Independent wealth	Sep 28, 2023	n/a	yes	BOISE, ID\|Austin, TX	Current employment
CRESSET ASSET MANAGEMENT, LLC	Independent wealth	Oct 1, 2021	Jun 30, 2023	no	Austin, TX\|CHICAGO, IL	Previous registration
BERMAN CAPITAL ADVISORS, LLC	Former SEC adviser	Mar 26, 2019	Oct 19, 2021	no	ATLANTA, GA	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 4, 2015	Jan 30, 2019	no	ST. LOUIS, MO\|ATLANTA, GA	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Jan 4, 2011	Dec 4, 2015	no	ATLANTA, GA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 24, 2007	Sep 9, 2008	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CRESSET ASSET MANAGEMENT, LLC	THE CAPROCK GROUP, LLC	Jun 30, 2023	Sep 28, 2023	90	Firm change	RIA to RIA
BERMAN CAPITAL ADVISORS, LLC	CRESSET ASSET MANAGEMENT, LLC	Oct 19, 2021	Oct 1, 2021	-18	Firm change	RIA to RIA
STIFEL, NICOLAUS & COMPANY, INCORPORATED	BERMAN CAPITAL ADVISORS, LLC	Jan 30, 2019	Mar 26, 2019	55	Firm change	Ibd to RIA
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	BARCLAYS CAPITAL INC.	Sep 9, 2008	Jan 4, 2011	847	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
155419:288566:GA:2021-10-19	Oct 19, 2021	Oct 1, 2021	ATLANTA, GA	Firm change

Relationships

Registered with (6)

→ THE CAPROCK GROUP, LLCRegistered adviserregistration: current employment
Sep 28, 2023 to presentfactForm ADV
→ CRESSET ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 1, 2021 to Jun 30, 2023factForm ADV
→ BERMAN CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 26, 2019 to Oct 19, 2021factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2015 to Jan 30, 2019factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Jan 4, 2011 to Dec 4, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 24, 2007 to Sep 9, 2008factForm ADV

Dated events

Occurred
Jun 30, 2023
Advisor changed firm
Whitney W Warmack left Cresset Asset Management, Llc for The Caprock Group, Llc (registered 2023-09-28)
Form ADVobserved 4 days ago