James Richard Rock

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

• 08/2005 → Present
  The Caprock Group, Inc.
  Boise, ID
• 03/2002 → Present
  Xian Advisors
  San Jose, CA

Other Businesses

BOARD MEMBER, BIOTRACKING, LLC, MOSCOW,ID SINCE 2002_NON INVESTMENT-RELATED_0 HRS/MONTH DURING MKT TRADING HRS.BOARD MEMBER, PRINCIPAL, XIAN ADVISORS,LLC, SAN JOSE,CA SINCE 2002_INVESTMENT-RELATED_ACTING AS TRUSTEE FOR BLIND TRUST_30 HRS/MONTH 15 HRS OCCUR DURING MKT TRADING HRS.ADVISORY BOARD, WESTLY GROUP, MENLO PARK, CA SINCE 2007_INVESTMENT RELATED_PROVIDE VENTURE CAPITAL ORGANIZATION AND INVESTMENT ADVICE_5 HRS/MONTH 1 HR OCCUR DURING MKT TRADING HRS. ADVISORY BOARD MEMBER, PAC WEST, FAIR OAKS, CA SINCE 2000_INVESTMENT RELATED_PROVIDE VENTURE CAPITAL INVESTMENT ADVICE_1 HR/MONTH 0 HR OCCUR DURING MKT HOURS. UNIVERSITY OF IDAHO FOUNDATION MOSCOW, ID UNIVERSITY ENDOWMENT INVESTMENT COMMITTEE MEMBER SINCE 2000 2 HOURS PER MONTH, 0 DURING SECURITIES TRADING HOURS GENERAL OVERSIGHT OF PROFESSIONAL MANAGEMENT OF UNIVERSITY ENDOWMENT INVESTMENT RELATED

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-10-14