{ "crd_number": 296925, "slug": "caprock-partners-management-inc-newport-beach-ca-296925", "primary_business_name": "CAPROCK PARTNERS MANAGEMENT, INC.", "legal_name": "CAPROCK PARTNERS MANAGEMENT, INC.", "dbas": [], "city": "Newport Beach", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2019-01-28", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 1517162010.0, "raum_discretionary": 1517162010.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 50, "advisory_employees": 14, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 1517162010.0, "count": 13 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CA" ], "websites": [ "https://caprock-partners.com", "https://facebook.com/CapRockPartners", "https://instagram.com/caprock_partners", "https://linkedin.com/company/caprock-partners", "https://twitter.com/caprockpartners" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/296925", "city_as_filed": "NEWPORT BEACH", "url": "https://advisorcensus.com/firm/caprock-partners-management-inc-newport-beach-ca-296925", "display_name": "Caprock Partners Management, Inc.", "summary": "Caprock Partners Management, Inc. is an SEC-registered investment advisory firm in Newport Beach, CA, registered since 2019, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Caprock Partners Management, Inc. (CRD 296925): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Caprock Partners Management, Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Caprock Partners Management, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees." }, { "q": "How much does Caprock Partners Management, Inc. charge?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: 1.5% to 2% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Caprock Partners Management, Inc. located?", "a": "Caprock Partners Management, Inc.'s principal office is in Newport Beach, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Caprock Partners Management, Inc. registered with the SEC or a state?", "a": "Caprock Partners Management, Inc. is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 296925." }, { "q": "How much does Caprock Partners Management, Inc. manage?", "a": "Caprock Partners Management, Inc. reports $1,517,162,010 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Caprock Partners Management, Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Caprock Partners Management, Inc.: Regulatory assets under management: $1,054,454,055 in the October 2021 data and $1,517,162,010 in the October 2026 data, up 44%. Total employees: 39 in October 2021 and 50 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Caprock Partners Management, Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (13)." }, { "q": "Does Caprock Partners Management, Inc. report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/296925" }, { "q": "What changed in Caprock Partners Management, Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 15 to 14." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1054454055.0, "total_employees": 39, "filing_date": "2021-03-31" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1815287875.0, "total_employees": 54, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1406559109.0, "total_employees": 54, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1681775335.0, "total_employees": 53, "filing_date": "2024-08-30" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1633335635.0, "total_employees": 54, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1517162010.0, "total_employees": 50, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 15 to 14." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": "1.5% to 2% a year", "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 1.5% to 2% a year (a range, as the brochure states it)" ], "quotes": [ "the Management Fee calculated with respect to each investor is typically between 1.50% and 2.0% of such investor’s total commitment.", "Thereafter, the annual Management Fee calculated with respect to each Fund investor will be between 1.50% and 2.0% of such investor’s invested capital in investments that have not been disposed of or permanently written off." ] } ], "values": { "tiers": [], "range_pct": [ 1.5, 2.0 ], "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "the Management Fee calculated with respect to each investor is typically between 1.50% and 2.0% of such investor’s total commitment.", "Thereafter, the annual Management Fee calculated with respect to each Fund investor will be between 1.50% and 2.0% of such investor’s invested capital in investments that have not been disposed of or permanently written off." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/caprock-partners-management-inc-newport-beach-ca-296925.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 13, "fewer_than_5": false, "raum": 1517162010.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/296925", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }