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Gregory A. Brown
THE CAPROCK GROUP
MERCER ISLAND, WA 98040
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CRD#: 5276924
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Professional summary
Gregory Aaron Brown is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Mercer Island, Washington.
Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Gregory has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I AM THE PRINCIPAL & MANAGING DIRECTOR OF DELTA VENTURES, LLC, A WHOLLY-OWNED VENTURE DEVELOPMENT AND PRIVATE INVESTMENT COMPANY. DELTA VENTURES IS USED AS A VEHICLE FOR DIRECT, EQUITY INVESTMENTS ON BEHALF OF ITS PRINCIPAL IN PRIVATE COMPANIES, REAL ESTATE AND REAL ASSETS. THIS ENTITY REQUIRES APPROXIMATELY 3-4 HOURS PER MONTH OF WHICH APPROXIMATELY HALF IS DURING SECURITIES TRADING HOURS. I HAVE NO REGULAR DUTIES IN THE BUSINESS, BUT OCCASIONALLY PARTICIPATE ON ADVISORY BOARDS OR BOARDS OF DIRECTORS FOR VARIOUS PRIVATE COMPANIES. ADVISORY BOARD MEMBER, SHIFTBOARD.COM, SEATTLE,WA SINCE 2006_NON INVESTMENT-RELATED_STRATEGIC ADVICE TO COMPANY MGMT_0.5 HRS/MONTH 0 HR DURING MKT TRADING HRS.
LA PLAZA INTERNATIONAL LLC_NON INVESTMENT-RELATED_SEATTLE WA. IMPORTER. PRINCIPAL SINCE NOVEMBER 2009.INVESTOR IN THE BUSINESS WITH NO REGULAR DUTIES. DEVOTE 4 HOURS PER MONTH 3 HOURS DURING MARKET TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Aaron Brown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 26, 2007 - Present
THE CAPROCK GROUP, LLC
Office #1: Island Corporate Center, Suite 640 7525 Southeast 24th Street, Mercer Island, WA 98040RIA
CRD#: 124272
MERCER ISLAND, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
THE CAPROCK GROUP, LLC
J AND M COMPANIES INC. | THE CAPROCK GROUP, LLC | THE CAPROCK GROUP, INC. | MCMILLENBUCKLEY, INC. | MCMILLEN AND ASSOCIATES | MCMILLEN & ASSOCIATES, INC.
CRD#: 124272 / SEC#: 801-61642
RIA
Registered Investment Advisory firm - (12/17/2002 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Washington(3/26/2007)
Current Firm
TC
THE CAPROCK GROUP, LLC
J AND M COMPANIES INC. | THE CAPROCK GROUP, LLC | THE CAPROCK GROUP, INC. | MCMILLENBUCKLEY, INC. | MCMILLEN AND ASSOCIATES | MCMILLEN & ASSOCIATES, INC.
CRD#: 124272 / SEC#: 801-61642
RIA
Registered Investment Advisory firm - (12/17/2002 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
800 West Main Street Suite 1150, Boise, ID 83702
Mailing Address
Phone number
(208) 368-9600
Established
Firm type
Fiscal year end
# of Employees
64
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
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