Kevin J. Sierzant

THE CAPROCK GROUP | Private Wealth Manager

Newport Beach, CA 92660

CRD#: 7223312

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Professional summary

Kevin Joseph Sierzant, who also goes by Kevin Sierzant, is a registered financial advisor currently at THE CAPROCK GROUP, LLC located in Newport Beach, California.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Kevin has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Sierzant

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph Sierzant's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 21, 2026 - Present

THE CAPROCK GROUP, LLC

Office #1: 450 Newport Center Dr Suite 630, Newport Beach, CA 92660

RIA

CRD#: 124272

Newport Beach, CA

Past

February 19, 2020 - May 27, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

February 18, 2020 - May 27, 2026

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWPORT BEACH, CA

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".

THE CAPROCK GROUP, LLC

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

California
(5/21/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/14/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/18/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/6/2020

Securities Industry Essentials Examination

Current Firm

THE CAPROCK GROUP, LLC

CRD#: 124272 / SEC#: 801-61642

RIA

Registered Investment Advisory firm - (12/17/2002 Approved)

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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

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE CAPROCK GROUP, INC. FORM ADV PART 2A (3/26/2025)

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	Cover Page	Report
01/28/2025	Cover Page	Report
10/26/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Kevin J. Sierzant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph Sierzant's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE CAPROCK GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2020

Series 7TO

Date: 2/18/2020

SIE

Date: 1/6/2020

Current Firm

THE CAPROCK GROUP, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE CAPROCK GROUP, LLC

TRUST BUT VERIFY

Contact information

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