Brock Fiduciary Services LLC
Brock Fiduciary Services LLC is a fee-based, SEC-registered investment adviser in New York, New York, registered with the SEC since 2010, managing approximately $588M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.
Source: SEC Form ADV · CRD #153055 · SEC #801-71132 · SEC-registered since 2010 (16 yrs) · Last filing data January 1, 2026
- AUM
- $588M
- Fee model
- Fee-based
- Clients
- Not reported
- Employees
- 4
as of 2026
per Form ADV 5.E
Form ADV 5.C — may be institutional
1 advisers
Assets per adviser
$588Mper adviser
A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm runs leaner (more assets per adviser).
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Overview
AI-generated summary
Brock Fiduciary Services LLC is a fee-based, SEC-registered investment adviser based in New York, New York. It reported approximately $588M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.
This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.
Firm details
- CRD #
- 153055
- SEC #
- 801-71132
- Headquarters
- New York, NY
- Employees
- 4
Clients served
Client types not reported on this filing.
Fees & compensation
- Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
- Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
- Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
- Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.
Assets under management
| Year | Reported AUM |
|---|---|
| 2026 | $588M |
Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.
Disclosures
Brock Fiduciary Services LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.
Frequently asked questions
Is Brock Fiduciary Services LLC a fiduciary?+
Yes. Brock Fiduciary Services LLC is an SEC-registered investment adviser (CRD #153055), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.
How is Brock Fiduciary Services LLC compensated?+
Brock Fiduciary Services LLC reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.
How much money does Brock Fiduciary Services LLC manage?+
Brock Fiduciary Services LLC reported approximately $588M in regulatory assets under management as of its most recent Form ADV filing.
Does Brock Fiduciary Services LLC have any disclosures?+
Brock Fiduciary Services LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.
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This profile is generated from publicly available SEC filings. Brock Fiduciary Services LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.