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James Rock

Chief Portfolio Strategist at The Caprock Group

Investment adviser registrationSan Jose, CASEC record checked 18 October 2026

21
Years in the industry
21
Years at the firm
1
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

James Rock is Chief Portfolio Strategist of The Caprock Group, LLC, a Boise investment adviser managing $12.5B. James Rock has been registered through The Caprock Group since 17 October 2005, has 21 years in the industry across 1 firm and has passed the Series 65.

Role at The Caprock Group

Title on Schedule A
Chief Portfolio Strategist
Control
James Rock is a control person of The Caprock Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Rock has held the filed role since January 2026.

The firm

The Caprock Group, LLC
Boise, ID

Form ADV filed 7 August 2026

$12.5B AUM436 clients38 advisers10 offices

Career on record

James Rock has been registered through The Caprock Group since October 2005.

Firms and exams, newest first
  1. The Caprock Group, LLCCurrent
    – present · 21 years
    San Jose, CA · Adviser representative · Firm CRD 124272
  2. Passed Series 65 · 2005

Registrations and exams

James Rock has a current investment-adviser registration in California and has passed 1 qualifying exam.

California17 October 2005
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6514 October 2005
Name
Uniform Investment Adviser Law Examination

Individual record

Full name
James Richard Rock
CRD
5020387
Firm
The Caprock Group, LLC
Registration status
Investment adviser registration
Office
1100 LINCOLN AVENUE, SUITE 353, San Jose, CA 95125

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Rock work?

James Rock has been Chief Portfolio Strategist of The Caprock Group, LLC since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 7 August 2026

Is James Rock a financial advisor?

Yes. James Rock has a current investment-adviser registration in California, through The Caprock Group since October 2005, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does James Rock have?

James Rock has worked in the financial industry for 21 years as of 18 October 2026, counted from 16 October 2005, across 1 adviser firm.

Source: IAPD individual record, checked 18 October 2026

What exams has James Rock passed?

James Rock passed the Series 65 in October 2005.

Source: IAPD individual record, checked 18 October 2026

Where is James Rock based?

James Rock’s registered office is in San Jose, CA.

Source: IAPD individual record, checked 18 October 2026

Leadership at The Caprock Group

Sources

  1. IAPD individual record, CRD 5020387. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of The Caprock Group, LLC, filed 7 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Rock or The Caprock Group, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.