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Chairman, Chief Executive Officer, and Chief Compliance Officer · Brock Fiduciary Services LLC

Charles L. Brock

CRD 5758862 · Named on Form ADV at one SEC-registered adviser

At a glance

Brock Fiduciary Services LLC, an SEC-registered asset manager based in New York, NY with $588 million in regulatory assets, lists Charles L. Brock on its Form ADV as Chairman, Chief Executive Officer, and Chief Compliance Officer, a control person.

Firms and roles

  • Brock Fiduciary Services LLCChairman, Chief Executive Officer, and Chief Compliance OfficerAsset manager · New York, NY · $588M in regulatory assets

AtlasMembers

Charles’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Charles’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.