Asset manager · New York, NY
Brock Fiduciary Services LLC
SEC-registered investment adviser · CRD 153055 · SEC 801-71132
At a glance
Brock Fiduciary Services LLC is an SEC-registered investment adviser based in New York, New York, with $588 million in regulatory assets under management as of its Form ADV filed April 1, 2026. Its largest client group by assets is pension and profit sharing plans. By Form ADV it is a asset manager, ranked 1,605th of 3,218 asset managers and 7,175th of 17,210 SEC-registered advisers by assets.
Main office 212-209-3000brockcapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $588M
- Rank among asset managers
- #1,605 of 3,218
- Rank among all SEC RIAs
- #7,175 of 17,210
- Rank in New York
- #1,393 of 2,591
- Clients
- 0
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Charles L. BrockChairman, Chief Executive Officer, and Chief Compliance Officer
Custody and brokerage
Custodian
Brock Fiduciary Services LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Brock Fiduciary Services LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Brock Securities LLC.
- Brock Securities LLC ↗CRD 122156
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | – | $588M | 100% |
Disciplinary disclosures
Brock Fiduciary Services LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Other services
How it’s paid
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗brockcapital.com ↗
AtlasMembers
The full record on Brock Fiduciary Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 1,009 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Brock Fiduciary Services LLC manage?
Brock Fiduciary Services LLC reports $588 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 1, 2026.
What kind of firm is Brock Fiduciary Services LLC?
Brock Fiduciary Services LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Brock Fiduciary Services LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($588 million).
Does Brock Fiduciary Services LLC have any disciplinary history?
Brock Fiduciary Services LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Brock Fiduciary Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-01), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →