Caprock Partners Management, Inc

CRD#296925
Investment Advisor Firm

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Overview

Caprock Partners Management, Inc operates as a financial advisor company that has its headquarters in Newport Beach, California. The firm manages $1.4 billion in assets under management across 12 customer accounts, making it one of the largest firms in the nation by assets under management (AUM). The company has an average-sized team, including 15 financial advisors. Caprock Partners Management, Inc does not act as a registered broker-dealer, signifying that the company cannot buy and sell securities for its clients' and own accounts and instead must go through a broker-dealer firm to do so. Securities are defined as tradable financial assets like stocks, options and bonds.

Caprock Partners Management, Inc oversees all of its client assets on a discretionary basis. Discretionary management means that an investment advisor has the discretion to make transaction judgments for the client's account without needing to seek the client's authorization. The firm's typical account size is $117.2 million. The typical advisor at Caprock Partners Management, Inc manages fewer than one client account, making it one of the most personalized financial advisor firms in the country.

Caprock Partners Management, Inc's headquarters is located at 1300 Dove Street, Newport Beach, California 92660. The firm is permitted to serve clients in the state of California.

Assets Under Management

$1.4 billion

Number of Advisors

15

Disclosures

No

Office Location

1300 Dove Street
Newport Beach, CA 92660

Caprock Partners Management, Inc by the Numbers

Total Assets Under Management

$1.4 billion

National Average: $8.6 billion
Total Number of Employees

54

National Average: 64
Total Number of Accounts

12

National Average: 375,227
Average Account Size

$117.2 million

National Average: $23.0 thousand
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Fee Structure

Financial management fees usually vary depending on which services the firm provides the client. However, fee types charged by the firm most likely include any combination of the following fee types: asset-based or performance-based. The firm does not participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

Available

  • Offered by 69% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 26% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 32% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

Caprock Partners Management, Inc provides services to pooled investment vehicles. Out of its 12 customers, Caprock Partners Management, Inc's largest client group is pooled investment vehicles. None of the company's customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 0%
  • Other Individuals - 0%
  • Corporations - 100%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Caprock Partners Management, Inc does not have any disclosures.

Please visit its Form ADV for more details.

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