Asset manager · Chicago, IL
Greenrock Research, Inc.
SEC-registered investment adviser · CRD 131825 · SEC 801-69664
At a glance
Greenrock Research, Inc. is an SEC-registered investment adviser based in Chicago, Illinois, with $864 million in regulatory assets under management as of its Form ADV filed March 27, 2026. Its largest client group by assets is other investment advisers, and it reports 4 individual clients. By Form ADV it is a asset manager, ranked 1,429th of 3,218 asset managers and 5,841st of 17,210 SEC-registered advisers by assets.
Main office 312-463-1301greenrockresearch.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $864M
- Rank among asset managers
- #1,429 of 3,218
- Rank among all SEC RIAs
- #5,841 of 17,210
- Rank in Illinois
- #277 of 684
- Individual clients
- 4
- High-net-worth clients
- 0
- Accounts
- 1,880
- Discretionary
- 60% of AUM
- Employees
- 6
- Advisory staff
- 3
- Offices
- 1
Owners and executives on its Form ADV
- Michael K. MalonePresident and Chief Compliance Officer
Custody and brokerage
Custodian
Greenrock Research, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Other investment advisers | 21 | $842M | 98% |
| Individuals | 4 | $21M | 2% |
Disciplinary disclosures
Greenrock Research, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Other services
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗greenrockresearch.com ↗
AtlasMembers
The full record on Greenrock Research, Inc.
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
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- Growth over one, three and five years
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- Rank against 1,014 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Greenrock Research, Inc. manage?
Greenrock Research, Inc. reports $864 million in regulatory assets under management across 1,880 accounts, 60% of it on a discretionary basis, on its Form ADV filed March 27, 2026.
What kind of firm is Greenrock Research, Inc.?
Greenrock Research, Inc. 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 Greenrock Research, Inc.’s clients?
By assets, its largest client types are other investment advisers ($842 million, 21 clients); individuals ($21 million, 4 clients).
Does Greenrock Research, Inc. have any disciplinary history?
Greenrock Research, Inc. 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 Greenrock Research, Inc.’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 (2026-03-27), 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 →