Kevin Joseph Sierzant

Employer firm

The Caprock Group, LLC CRD 124272

$12.5B regulatory AUM 436 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers
• WEALTH MANAGEMENT & CONSULTING

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
• 07/2014 → 02/2020
  Bny Mellon
  Century City, CA
• 03/2020 → Present
  Bank Of America, N.A.
  Newport Beach, CA

Previous Registrations

• 2020-02-19 → 2026-05-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
  Long Beach, CA

Other Businesses

I*3704267 Entity Type: For Profit Name of OBA: B L 106 LLC Address: Yorba Linda, California, 92886Investment Related: No Position, Title, Association: Owner Employee Start Date: 12/18/2020Number of Hours: 0 Number of Hours during trading: 0 Duties: The LLC owns two single family homes and four duplexes with tenants in the Belleville, IL community. None I*3704270 Entity Type: For Profit Name of OBA: Kevcor Holdings III LLC Address: Long Beach, California, 90807Investment Related: No Position, Title, Association: Owner Employee Start Date: 04/01/2021Number of Hours: 0 Number of Hours during trading: 0 Duties: Kevcor Holdings III LLC was opened to be a holdings company for my wife and I - we own 50% each. The Kevcor Holdings III LLC is the entity my wife uses when she has an engagement as a consultant or a paid speaking engagement. Kevcor Holdings III LLC is owner of our interest in Belleville Lynx LLC. None

Exams

• S66 Uniform Combined State Law Examination
  2020-01-14

Other Names

• Kevin Sierzant