Role at The Caprock Group
- Title on Schedule A
- Chief Investment Officer
- Control
- Vivek Jindal is a control person of The Caprock Group.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Vivek Jindal has held the filed role since May 2025.
The firm
Form ADV filed 7 August 2026
Career on record
Vivek Jindal has been registered through The Caprock Group since July 2025, and before that through Corient and Kore Private Wealth, LLC.
- The Caprock Group, LLCCurrent– present · 1 yearGlen Ridge, NJ · Adviser representative · Firm CRD 124272
- Corient– · 2 yearsNew York, NY · Adviser representative · Firm CRD 319448
- Kore Private Wealth, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 294547
- Passed Series 65 · 2021
Registrations and exams
Vivek Jindal has a current investment-adviser registration in New Jersey and has passed 1 qualifying exam.
| State | Scope | Status | Since |
|---|---|---|---|
| New Jersey | Investment adviser representative | Approved | 16 July 2025 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 30 November 2021 |
- Name
- Uniform Investment Adviser Law Examination
Individual record
- Full name
- Vivek Jindal
- CRD
- 6542274
- Registration status
- Investment adviser registration
- Office
- Glen Ridge, NJ
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
Background
Vivek Jindal is Caprock’s chief investment officer. His biography describes risk management experience and prior work with The Robin Hood Foundation. Vivek Jindal - Caprock
Education
- B.S. in Finance and Marketing from Leonard N. Stern School of BusinessVivek Jindal - Caprock
Common questions
Where does Vivek Jindal work?
Vivek Jindal has been Chief Investment Officer of The Caprock Group, LLC since May 2025, and is a control person of the firm.
Is Vivek Jindal a financial advisor?
Yes. Vivek Jindal has a current investment-adviser registration in New Jersey, through The Caprock Group since July 2025, as of 18 October 2026.
How many years of experience does Vivek Jindal have?
Vivek Jindal has worked in the financial industry for 4 years as of 18 October 2026, counted from 9 January 2022, across 3 adviser firms.
What exams has Vivek Jindal passed?
Vivek Jindal passed the Series 65 in November 2021.
Where did Vivek Jindal work before The Caprock Group?
Before The Caprock Group, Vivek Jindal was registered through Corient, December 2022 to June 2025; Kore Private Wealth, LLC, November 2021 to March 2023.
Where is Vivek Jindal based?
Vivek Jindal’s registered office is in Glen Ridge, NJ.
Leadership at The Caprock Group
- Gregory BrownCo-President
- William GilbertCo-President
- Glenn MichaelChief Financial Officer
- Jefferson JewellChief Operating Officer /
- Mark GustafsonChief Investment Officer Impact
- James RockChief Portfolio Strategist