Executive Summary
Martin is a second-generation wealth creator and serial entrepreneur with a high-profile career stretching across music, education, entertainment, sports, and social impact. With multiple operating businesses, dozens of legacy investments, and a rising personal brand, he faced the challenge of overseeing his complex and ever-expanding balance sheet while continuing to grow his family office platform.
Martin came to Caprock based on the recommendation of his family office CIO, who primarily managed a heavy flow of direct deals. Given Martin’s fast-growing stable of businesses and numerous investments, he required a solution that would bring order, clarity, and complementary expertise to his balance sheet. The mission was clear: assist Martin and his CIO in establishing greater structure and support to move from a chaotic workflow to a sophisticated and centralized approach. This new strategy would provide real-time visibility into holdings, access to Caprock’s investment team for due diligence, and open doors to new investment opportunities that align with the family office’s long-term objectives.
At a Glance
- 35-year-old sole proprietor;
married with two children - New to the financial, practical, and
emotional complexities associated
with the sale of a business - Subject to a non-compete clause,
necessitating maximum financial
flexibility for the family - Not interested in retiring and
wanted to continue entrepreneurial
endeavors - Recognized the need for broad
wealth management expertise
Goals and Objectives
- Bring structure, ongoing reporting and diligence to a complex portfolio
- Align portfolio on sports, media, and entertainment themes
- Create a diversified investment strategy with complementary verticals across private credit, real estate, and private equity to drive risk-adjusted returns in a tax-efficient manner
- Add a central support team for his internal CIO with investment resources and critical infrastructure, creating greater operational bandwidth and coordination across all tax, legal, investment, and reporting
Caprock’s Integrated Plan of Action
Build the Foundation and Team
Martin’s in-house CIO, faced with shrinking bandwidth, recommended bringing on Caprock to support and expand the internal family offices’ capabilities. He cited the firm’s commitment to collaboration and 20-year track record of aligning high-net-worth families with innovative investment strategies and unlocking private market opportunities as beneficial to their long-term growth goals.
From the outset, Caprock took an active role in forming an investment committee that included Martin’s CIO, a multinational investment bank, and key professionals from Caprock with a focus on private markets. The formation of this group ensured transparency, alignment, and a structured framework for making investment decisions.
Leveraging Caprock’s internal investment team and innovative portfolio modeling technologies, the committee built a customized long-term asset allocation plan that balanced the family office’s liquidity needs while also making strategic long-term investments in top-decile managers and direct deals in real estate and private equity. Additionally, given Martin’s continued desire to invest in innovative private companies and strategic partnerships, Caprock developed a cash management portfolio to maximize yield on earmarked cash to support these fast-moving opportunities.
Caprock’s operational and investment depth was a key contributor to successfully growing Martin’s family office and its back-office infrastructure. Dedicated analysts and advanced reporting technology helped institutionalize processes that had previously fallen solely on Martin and his CIO. This ultimately freed up time for Martin to focus on what he was passionate about and to activate his talent and resources across his portfolio of sports, media, and entertainment companies. It also allowed his CIO to reduce the administrative and operational burden, allowing him to center his attention on specific passion projects and investments.
Caprock’s ability to work side by side with Martin and his existing CIO has provided a clear glide path to more effectively protect and grow Martin’s wealth and cement his family’s legacy.
Bring Order to a Multitude of Investments
As a high-profile entrepreneur, Martin was constantly fielding deals pitched from across his incredible network. Given his busy schedule running multiple operating businesses, Martin and his CIO knew there needed to be a structure to support the heavy volume of deals coming their way, as well as accurate reporting and monitoring of legacy assets. Caprock was tasked with tracking down, creating an inventory, and updating the historical performance of these investments into a tech-forward, centralized reporting system that specializes in private investments. In doing so, they discovered unconverted safe notes, dormant positions, and valuation uplifts that Martin hadn’t been aware of. Caprock’s thorough diligence led to a comprehensive and accurate view of his holdings while empowering the team to gain a holistic view of the current state of the portfolio and to deploy capital more effectively.
Using its robust reporting platform, Caprock transformed Martin’s fragmented Excel-based tracking into a unified, dynamic system. The internal Caprock operations and analyst teams aggregated data across more than 70 legacy contacts and investment entities, verifying valuations, collecting missing documentation, and reconstructing historical performance records. The result was a complete digital balance sheet that both Martin and his professional team could access.
This comprehensive view not only improved visibility but also allowed Caprock to act fiduciary-first: forecasting liquidity events, modeling tax implications, and proactively coordinating with the client’s tax advisors to explore opportunities like Qualified Small Business Stock (QSBS) treatment or tax-loss harvesting strategies.
Balance Passion with Diversification
Martin’s passion for sports, media, and entertainment remains the cornerstone of his investment thesis. Caprock not only provided additional due diligence support for direct deals he was introduced to, adding a layer of perspective for his family office, but also maintained a structure that honors this focus and ensured the portfolio worked cohesively and efficiently.
To complement Martin’s investments in these sectors, Caprock introduced yield-generating, tax-efficient strategies that could serve as capital call “warehousing” mechanisms that generated returns while the team identified and executed new opportunities aligned with his strategic vision.
These initiatives included allocations to a diverse group of proven private credit managers with highly liquid structures, as well as selective investments in real assets where tax benefits could be harnessed. In one example, a recent energy investment was structured to deliver both attractive income and a 100% tax-deductible commitment, helping to offset income-generating assets found in other parts of the portfolio while still providing for long-term growth in the underlying assets.
Leverage a Vast Network
By activating its own network of advisors, industry leaders, investors, and 14 investment committee team members, Caprock opened the door for Martin to take part in coveted investment opportunities, including in private markets where the firm has invested more than $4.6 billion since its inception in 2005. They also helped accelerate the growth of Martin’s portfolio companies by introducing fund managers and strategic partnerships. The hands-on nature of Caprock’s work with Martin has become a foundational element of their engagement. The team not only takes an active role in overseeing capital deployment with the CIO, but through their connections, Martin has created additional growth for the companies he is invested in.
Beyond investment access, Caprock became a trusted thought partner for many of Martin’s portfolio companies and joint ventures, offering strategic input on capital formation, exits, and partnerships. Through this role, Caprock added value across his broader ecosystem.
This hands-on, above-and-beyond engagement exemplifies how Caprock extends beyond wealth management — serving as a true institutional partner that connects capital, strategy, and community.
Fast Forward
Today, Martin operates from a position of stability and clarity. His myriad legacy assets are now organized and monitored. His portfolio is strategically diversified and aligned with his goals. And his family office and businesses are supported by Caprock’s diligence, oversight, and network of partners. Martin now has a team around him and his CIO, providing bandwidth and additional knowledge so he can focus on what brings him joy – innovating in the sectors he’s passionate about.
Our Advice
- Work with advisors who place you in the driver’s seat while unlocking access to investment opportunities that support your goals and objectives.
- While you may have a specific investment focus, maintain a well-balanced and diversified portfolio to reduce concentration risk.
- Engage a team of complementary partners who can expand your bandwidth, provide thorough oversight, and bring order to a complex balance sheet.
- Formalize an investment strategy that balances passion-driven ventures with financial sustainability.
- Utilize a team that has direct experience working across all asset types, both public and private.
Contact Caprock for a personalized, no-obligation consultation.
*This case study is based on a current Caprock client, but the names have been changed to protect their identity and maintain confidentiality. The client was not compensated in any form. While every effort has been made to accurately portray the details of the case, certain elements may have been modified or excluded to further safeguard the privacy of the individual. This case study is intended for informational purposes only and should not be seen as a substitute for professional financial advice. The results and outcomes described in this document are specific to the individual client and may not be applicable to all situations. This case study is intended to provide general information about Caprock and is not a solicitation or offer to sell investment advisory services except in states where we are registered or where an exemption or exclusion from such registration exists.
©Caprock. The Caprock Group, LLC (“Caprock”) is an SEC Registered Investment Advisor. Registration with the SEC does not imply a certain level of skill or training.
