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RIA / WealthAdvisor24 years in industry

JAMES RICHARD ROCK

Advisor at THE CAPROCK GROUP, LLC

SAN JOSE, CA | BOISE, ID

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:63079ecd-8e90-4700-5d58-87b813ce82ff

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 1
Observed: Mar 1, 2002 to Sep 15, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

James Richard Rock

same person, same CRD on Schedule A · confidence 95% · family precision 100%

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: Mar 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Oct 14, 2005
Dual registered: no
IAPD individual key: 5020387

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	Jan 1, 2025	n/a	yes	BOISE, ID\|SAN JOSE, CA	Current employment

Relationships

Registered with (1)

→ THE CAPROCK GROUP, LLCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:63079ecd-8e90-4700-5d58-87b813ce82ff
First observed: Mar 1, 2002
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES RICHARD ROCK

Advisor at THE CAPROCK GROUP, LLC

SAN JOSE, CA | BOISE, ID

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:63079ecd-8e90-4700-5d58-87b813ce82ff

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:13 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

THE CAPROCK GROUP, LLC

Independent wealth

Jan 1, 2025

n/a

yes

BOISE, ID|SAN JOSE, CA

Current employment