The Caprock Group, LLC

CRD#124272
Investment Advisor Firm

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Learn more about The Caprock Group, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    The Caprock Group, LLC is located at 800 West Main Street, Boise, ID. The firm employs 30 financial advisors to manage client portfolios and provide financial guidance. The Caprock Group, LLC is not a registered broker-dealer.

    The Caprock Group, LLC oversees $6.9 billion in assets under management across 317 accounts, of which 313 are discretionary and 4 are non-discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, and other services. The firm caters to retail investors, high net worth investors, and charitable organizations, with high net worth investors being the largest client type by accounts. The fee structure at The Caprock Group, LLC includes asset-based and fixed fees. The firm has 266 high net worth clients.

    The Caprock Group, LLC is registered in the states of Arizona, California, Colorado, Florida, Idaho, Illinois, Michigan, New Jersey, New York, South Carolina, Texas, Utah, Washington, and Wisconsin.

    Assets Under Management

    $6.9 billion

    Number of Advisors

    30

    Disclosures

    No

    Office Location

    800 West Main Street
    Boise, ID 83702

    The Caprock Group, LLC by the Numbers

    Total Assets Under Management

    $6.9 billion

    National Average: $8.6 billion
    Total Number of Employees

    50

    National Average: 64
    Total Number of Accounts

    317

    National Average: 375,227
    Average Account Size

    $21.8 million

    National Average: $23.0 thousand
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    Products and Services

    The Caprock Group, LLC offers a variety of services, which can consist of portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, selection of other advisers, and other services. However, The Caprock Group, LLC did not provide any of its customers with financial planning services in the last financial year. The Firm is not involved in selling products or offering services other than investment advisory services to its investment advisory clients.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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      Publication of Periodicals

      This is the publication of various financial education materials.

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      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    A financial advisor's fees typically vary depending on which services are offered. Fees charged by The Caprock Group, LLC most likely consist of any blend of the following fee structures: asset-based or fixed.

    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 32% of firms

      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.

    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 26% of firms that offer this fee type

      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.

    • 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 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

    The company works with retail investors, high net worth investors, and charitable organizations. Out of its 3 clients, The Caprock Group, LLC's biggest client type by number of accounts is high net worth investors, but it also serves 266 high-net-worth individuals. The SEC defines a high-net-worth individual as an individual who has at least $750,000 under management or a net worth of at least $1,50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 83.91%
    • Other Individuals - 12.3%
    • Corporations - 0%
    • Charitable Organizations - 3.79%

    * 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

    The Caprock Group, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at The Caprock Group, LLC

    Michelle Mosey
    Boise, ID
    John Nordstrom
    Boise, ID
    Anna Whelchel
    New York, NY
    Mark Berryman
    San Jose, CA
    Julia Northcott
    Boise, ID
    Nicolas Flores
    Boise, ID
    Timothy Simon
    Green Village, NJ
    Jefferson Jewell
    Boise, ID
    Kiersten Adling
    Park City, UT

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