Natalie D. Holm
Professional summary
Natalie Dawn Holm, who also goes by Natalie Dawn Wernberg, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Mercer Island, Washington.
Natalie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Natalie has worked at 3 firms and has passed the Series 66 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Natalie Dawn Holm's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 14, 2011 - Present
THE CAPROCK GROUP, LLC
Office #1: 7525 Southeast 24th Street Suite 640, Mercer Island, WA 98040August 14, 2003 - November 1, 2011
LNW
April 7, 1999 - March 6, 2000
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
THE CAPROCK GROUP, LLC
CRD#: 124272 / SEC#: 801-61642
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/14/2011)
Current Firm
THE CAPROCK GROUP, LLC
CRD#: 124272 / SEC#: 801-61642
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 408 |
| AUM (Assets Under Management) | $ 10,149,325,042 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/28/2025 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
