DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
The Caprock Group, LLC
Latest filing Aug 7, 2026
First filing on the tape Mar 28, 2012 · 38 filings
SEC status approved since Dec 17, 2002
RAUM
$12B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$11B individuals and HNW
Advisors
49
registered through the firm on IAPD
RAUM per advisor
$255M
derived; firm RAUM over IAPD count
Employees
67
38 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$12B as of Aug 7, 2026
Mar 28, 2012$937M then
HNW client RAUM$11B as of Aug 7, 2026
Mar 15, 2018$2.1B then
State-registered IARs (5.B.3)46 as of Aug 7, 2026
Mar 26, 201318 then
Employees (5.A)67 as of Aug 7, 2026
Mar 26, 201320 then
Private funds1 as of Feb 18, 2022
Mar 28, 20123 then
RAUM +23% over the last fiscal year+28% a year over threeIARs 43 to 46
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $255MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $28.3MderivedHNW RAUM over HNW clients
- Average account
- $28.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.1derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $3.7B, 434 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$11B90%
- Charitable organizations$1.2B9.5%
- Individuals$17.4M0.1%
- Individual clients
- 22reported
- HNW clients
- 398reported
- Pension plan clients
- n/areported
- Charitable clients
- 16reported
- Accounts
- 436reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 434 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
49 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Kenneth GustafsonChartered Financial Analyst | Boise, Id | May 5, 2004 | 21 y | 0 |
| Jessica Summer Haberman | Boise, Id | Aug 18, 2005 | 23 y | 1 |
| William Gordon Gilbert | Boise, Id | Aug 18, 2005 | 28 y | 1 |
| Dallas K Mock | Boise, Id | Aug 31, 2005 | 21 y | 0 |
| Gregory Aaron Brown | Boise, Id | Mar 26, 2007 | 24 y | 0 |
| Andy G Pazdan | Boise, Id | Jun 14, 2007 | 20 y | 0 |
| Erik Van JensenCertified Financial Planner | Boise, Id | Jan 14, 2011 | 16 y | 1 |
| Laura Ann Greenig | Boise, Id | Apr 4, 2011 | 16 y | 0 |
| Jefferson Richard Jewell | Boise, Id | Jun 27, 2011 | 15 y | 0 |
| Natalie Dawn HolmChartered Financial Analyst | Boise, Id | Dec 14, 2011 | 27 y | 1 |
| Gregory James Mech | Newport Beach, Ca | Mar 19, 2013 | 45 y | 1 |
| Jeffrey Michael GumesonChartered Financial Analyst | Park City, Ut | Feb 27, 2015 | 13 y | 0 |
| Michelle Alisa Mosey | Boise, Id | Jan 19, 2018 | 10 y | 0 |
| Kiersten Janaye Adling | Park City, Ut | Sep 11, 2018 | 13 y | 0 |
| William R Mech | Boise, Id | Oct 15, 2018 | 11 y | 0 |
| John Andrew Nordstrom | Mercer Island, Wa | Sep 18, 2019 | 11 y | 0 |
| Joseph John GryniukChartered Financial Analyst | Boise, Id | Jul 6, 2021 | 14 y | 0 |
| Kellianne Renee Barrow | Boise, Id | Nov 18, 2021 | 11 y | 0 |
| Julia Nicole Northcott | Boise, Id | Apr 18, 2022 | 12 y | 0 |
| Kellen Joseph SchmitzChartered Financial Analyst | Boise, Id | Jun 13, 2022 | 10 y | 1 |
| Christa Nicole GunnerCertified Financial Planner | Boise, Id | Jul 8, 2022 | 11 y | 1 |
| Anna Sophia Whelchel | New York, Ny | Jun 5, 2023 | 12 y | 0 |
| John Michael Sheffield | Boise, Id | Sep 28, 2023 | 13 y | 0 |
| Whitney W WarmackCertified Financial Planner | Boise, Id | Sep 28, 2023 | 19 y | 5 |
| Garrett Daniel Dinsmore | Boise, Id | Dec 21, 2023 | 10 y | 0 |
| Joseph French Page | Boise, Id | Apr 15, 2024 | 32 y | 1 |
| Jeffrey Scott Friedstein | Chicago, Il | Apr 16, 2024 | 32 y | 1 |
| Monica Barrera | Chicagp, Il | Apr 24, 2024 | 24 y | 3 |
| Timothy Charles Simon | Boise, Id | Apr 25, 2024 | 12 y | 1 |
| Ryan Singer | Boise, Id | May 14, 2024 | 10 y | 1 |
| Melissa Ahearn | Boise, Id | May 14, 2024 | 18 y | 2 |
| Roger J Klauer | Boise, Id | May 18, 2024 | 14 y | 3 |
| Peter Traugott Lawler | Bluffton, Sc | May 22, 2024 | 25 y | 1 |
| Porter Thomas Milner | Boise, Id | Aug 7, 2024 | 10 y | 0 |
| Chase Ethan Grossman | San Jose, Ca | Dec 11, 2024 | 13 y | 0 |
| Bennie Warren Fowler | Denver, Co | Dec 11, 2024 | 12 y | 0 |
| James Richard Rock | San Jose, Ca | Jan 1, 2025 | 24 y | 0 |
| Eric Niklas Osmundson | Boise, Id | Jan 2, 2025 | 11 y | 0 |
| Timothy William Skinner | Boise, Id | Jan 7, 2025 | 12 y | 1 |
| David Lavin Solow | Chicago, Il | Feb 25, 2025 | 17 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 2.0% of current headcount4 left over 36 months
Left, latest
- Casey Michael Broderick to Basecamp Wealth Advisors, LLCMay 15, 2026 · RIA to RIA
- Adrienne Ann Martain Black to J.P. Morgan Securities LLCJul 29, 2025 · RIA to wirehouse
- Nicolas Michael Flores to Capricorn Investment Group LLCJan 16, 2025 · RIA to RIA
- Daniel Luikwong Yeung to Coldstream Wealth ManagementOct 1, 2024 · RIA to RIA
- Eric Michael Sassano to Compound Advisers, Inc.May 20, 2022 · RIA to RIA
- Kyle Vann Mylius to Threshold Group, LLCMar 16, 2017 · Other
- Gregory Cannon Giauque to Sfe Investment Counsel Inc.Jun 3, 2013 · Other
- Todd Alan Sixt to Charles Schwab & Co., Inc.Sep 29, 2009 · Other
- Mike Mcmillen to Mcmillen & Company, Inc.Jul 27, 2006 · Other
- Brandee Lynn Schuelke to Mcmillen & Company, Inc.Jul 14, 2006 · Other
- John Timothy Buckley to Buckley Investment Group, LLCMay 12, 2005 · Other
Joined, latest
- Kevin Joseph Sierzant from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 21, 2026 · Wirehouse to independent RIA
- Ryan T Edington from J.P. Morgan Securities LLCOct 28, 2025 · Wirehouse to independent RIA
- Vivek Jindal from CorientJul 16, 2025 · RIA to RIA
- Timothy William Skinner from Rw Investment Management LLCJan 7, 2025 · RIA to RIA
- Peter Traugott Lawler from Grey Street Capital, LLCMay 22, 2024 · RIA to RIA
- Roger J Klauer from Grey Street Capital, LLCMay 18, 2024 · RIA to RIA
- Melissa Ahearn from Grey Street Capital, LLCMay 14, 2024 · RIA to RIA
- Ryan Singer from Grey Street Capital, LLCMay 14, 2024 · RIA to RIA
- Timothy Charles Simon from Grey Street Capital, LLCApr 25, 2024 · RIA to RIA
- Monica Barrera from Grey Street Capital, LLCApr 24, 2024 · RIA to RIA
- Jeffrey Scott Friedstein from Grey Street Capital, LLCApr 16, 2024 · RIA to RIA
- Joseph French Page from Grey Street Capital, LLCApr 15, 2024 · RIA to RIA
- Whitney W Warmack from Cresset Asset Management, LLCSep 28, 2023 · RIA to RIA
- Christa Nicole Gunner from D.A. Davidson & Co.Jul 8, 2022 · RIA to RIA
- Kellen Joseph Schmitz from Seven Post Investment Office LPJun 13, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from Grey Street Capital, LLCApr 23, 2024 · Chicago, Il · Firm absorbed
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Tcg Partners Fund I, LLC,no longer reported | Private Equity Fund | $3.3M | 6 | Mar 26, 2013 |
| Tcg Real Estate Debt Financing Fund I, LLCno longer reported | Private Equity Fund | $0 | 0 | Mar 28, 2012 |
| Tcg Real Estate Debt Financing Fund I (Founder), LLCno longer reported | Private Equity Fund | $0 | 32 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Aaron Gregory Brown · Co-President Chief Compliance Officercontrolsince 01/2007 · owns 5% to 10%
- Gordon William Gilbert · Co-Presidentcontrolsince 08/2005 · owns 5% to 10%
- Kenneth Mark Gustafson · Chief Investment Officer Impactcontrolsince 01/2004 · owns 5% to 10%
- Richard James Rock · Chief Portfolio Strategistcontrolsince 01/2026 · owns less than 5%
- Richard Jefferson Jewell · Chief Operating Officer / Chief Compliance Officersince 09/2015 · owns less than 5%
- Thomas Glenn Michael · Chief Financial Officersince 07/2018 · owns less than 5%
Entity owners
- Tcg Midco, LLC · Unit Holderdirect · owns 75% or more
- Ta/Tcg Holdings, LLC · Unit Holderindirect · owns 50% to 75% of Tcg Midco, LLC
- Tcg Holdings, Inc. · Unit Holderindirect · owns 25% to 50% of Ta/Tcg Holdings, LLC
Related persons
Schedule D 7.A
- Caprock Management, LLCinvestment adviseryRAUM $244M
Advisers that list The Caprock Group, LLC as a related person
- 171263 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boise, Id · principal | 49 | 7 | 1 | ||
| Chicago, Il | 6 | 2 | 0 | ||
| Mercer Island, Wa | 6 | 0 | 0 | ||
| Park City, Ut | 3 | 0 | 0 | ||
| Newport Beach, Ca | 3 | 1 | 0 | ||
| San Jose, Ca | 3 | 0 | 0 | ||
| Scottsdale, Az | 2 | 0 | 0 | ||
| Austin, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mercer Island, WA6 employees
- Park City, UT3 employees
- Chicago, IL3 employees
- Austin, TX3 employees
- Scottsdale, AZ2 employees
- New York, NY2 employees
- Newport Beach, CA2 employees
- San Jose, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 7, 2026GUSTAFSON, MARK, KENNETH (CHIEF INVESTMENT OFFICER IMPACT) left Schedule A between the filings of 2022-02-18 and 2026-08-07peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 408 to 436Apr 15, 2025 to Mar 26, 2026
- Advisory employees · 36 to 38Apr 15, 2025 to Mar 26, 2026
- Charity clients · 13 to 16Apr 15, 2025 to Mar 26, 2026
- HNW clients · 368 to 398Apr 15, 2025 to Mar 26, 2026
- Individual clients · 27 to 22Apr 15, 2025 to Mar 26, 2026
- Assets in custody · $3.0B to $3.7BApr 15, 2025 to Mar 26, 2026
- Employees · 64 to 67Apr 15, 2025 to Mar 26, 2026
- State-registered IARs · 43 to 46Apr 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $9.9B to $12BApr 15, 2025 to Mar 26, 2026
- HNW RAUM · $9.2B to $11BApr 15, 2025 to Mar 26, 2026
- Individual RAUM · $17.2M to $17.4MApr 15, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $250M to $237MApr 15, 2025 to Mar 26, 2026
- RAUM · $10B to $12BApr 15, 2025 to Mar 26, 2026
- Accounts · 386 to 408Oct 7, 2024 to Apr 15, 2025
- Advisory employees · 35 to 36Oct 7, 2024 to Apr 15, 2025
- HNW clients · 388 to 368Oct 7, 2024 to Apr 15, 2025
- Individual clients · 35 to 27Oct 7, 2024 to Apr 15, 2025
- Assets in custody · $2.9B to $3.0BOct 7, 2024 to Apr 15, 2025
- Employees · 63 to 64Oct 7, 2024 to Apr 15, 2025
- Financial planning clients · 251-500 to 251-500Oct 7, 2024 to Apr 15, 2025
- State-registered IARs · 41 to 43Oct 7, 2024 to Apr 15, 2025
- Other offices · 8 to 11Oct 7, 2024 to Apr 15, 2025
- Discretionary RAUM · $9.0B to $9.9BOct 7, 2024 to Apr 15, 2025
- HNW RAUM · $8.4B to $9.2BOct 7, 2024 to Apr 15, 2025
- Individual RAUM · $19.0M to $17.2MOct 7, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $356M to $250MOct 7, 2024 to Apr 15, 2025
- RAUM · $9.4B to $10BOct 7, 2024 to Apr 15, 2025
- Accounts · 317 to 386Jun 20, 2024 to Oct 7, 2024
- Advisory employees · 30 to 35Jun 20, 2024 to Oct 7, 2024
- Advisory activities · 5 to 6Jun 20, 2024 to Oct 7, 2024
- Charity clients · 12 to 13Jun 20, 2024 to Oct 7, 2024
- HNW clients · 266 to 388Jun 20, 2024 to Oct 7, 2024
- Individual clients · 39 to 35Jun 20, 2024 to Oct 7, 2024
- Assets in custody · $2.2B to $2.9BJun 20, 2024 to Oct 7, 2024
- Employees · 50 to 63Jun 20, 2024 to Oct 7, 2024
- Financial planning clients · 0 to 251-500Jun 20, 2024 to Oct 7, 2024
- State-registered IARs · 34 to 41Jun 20, 2024 to Oct 7, 2024
- Other offices · 4 to 8Jun 20, 2024 to Oct 7, 2024
- Discretionary RAUM · $6.7B to $9.0BJun 20, 2024 to Oct 7, 2024
- HNW RAUM · $6.2B to $8.4BJun 20, 2024 to Oct 7, 2024
Signals
11 dated events
- Venturi Private Wealth reported succeeding to the business of The Caprock Group, Llc (Form ADV Item 4)Aug 31, 2026 · Succession (Item 4) · fact
- Casey Michael Broderick left The Caprock Group, Llc for Basecamp Wealth Advisors, Llc (registered 2026-07-13)May 15, 2026 · Advisor changed firm · fact
- Adrienne Ann Martain Black left The Caprock Group, Llc for J.P. Morgan Securities Llc (registered 2025-10-23)Jul 29, 2025 · Advisor changed firm · fact
- Nicolas Michael Flores left The Caprock Group, Llc for Capricorn Investment Group Llc (registered 2026-02-18)Jan 16, 2025 · Advisor changed firm · fact
- The Caprock Group, Llc reported RAUM $9.4B, up 35% from $6.9B (2024-06-20 to 2024-10-07)Oct 7, 2024 · RAUM change · derived
- Daniel Luikwong Yeung left The Caprock Group, Llc for Coldstream Wealth Management (registered 2024-11-04)Oct 1, 2024 · Advisor changed firm · fact
- Grey Street Capital, LLC's advisors moved to The Caprock Group, LLC (Chicago, IL): 5 of 8 registered, on the same dayApr 23, 2024 · Firm absorbed (people side) · derived
- Eric Michael Sassano left The Caprock Group, Llc for Compound Advisers, Inc. (registered 2022-06-15)May 20, 2022 · Advisor changed firm · fact
- The Caprock Group, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 1, 2021 · Succession (Item 4) · fact
- The Caprock Group, Llc reported RAUM $4.7B, up 30% from $3.6B (2020-09-22 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- The Caprock Group, Llc reported RAUM $3.6B, up 32% from $2.8B (2019-03-12 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- The Caprock Group, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 208-368-9600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-311-5292reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/caprock-alignedwealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- caprock.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (208) 368-9600reportedpublic record, Form ADV, Aug 7, 2026
- Contact form
- caprock.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- caprock.com/about/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $255Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026