Brock Fiduciary Services LLC (New York)

Name: Brock Fiduciary Services LLC
Address: 505 Park Avenue, New York, NY, 10022
Telephone: 212-209-3000

Brock Fiduciary Services LLC is a large advisory firm based in New York. It manages $12.1 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2010 and has operated in the jurisdictions of Connecticut, Michigan, and Texas.

Brock Fiduciary Services provides independent fiduciary services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Brock Fiduciary Services: assets under management

The assets under management (AUM) of Brock Fiduciary Services LLC is $12.1 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 164% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $12.1 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.05 billion each.

Investments

The firm invests in non-exchange traded securities the most. They account for 72% of the total AUM. The second-largest asset type is exchange traded securities, which make up 28% of the firm’s portfolio.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Brock Fiduciary Services LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Brock Fiduciary Services LLC

The company employs 8 people that are either part- or full-time employees. 13 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brock Capital Group Llc	Sole member	1 Jan 2010	75% - 100%	030471220
Charles Lawrence Brock	Chairman, chief executive officer, and chief compliance officer	1 Jan 2010	Other	5758862
Alain Marcel Lebec	Chief compliance officer	1 Jan 2010	Other	815347
Charles Brock	Chariman and chief executive officer	1 Jan 2010	Other	5758862
Matthew Saunders	Chief compliance officer	1 Jun 2011	Other	5945942
Abhishek Mathur	Chief compliance officer	1 Nov 2012	Other	4203538
Jeremy Marc Josse	Compliance director	1 Jun 2017	Other	5626902

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Charles Brock Llc	Managing member	1 Jun 2002	Other	xxx-xx-xxxx
Charles Brock	Member	1 Jun 2002	75% - 100%	5758862

Based in New York

The principal office where Brock Fiduciary Services LLC performs its advisory services is located at 505 Park Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-209-3000 or by fax 212-209-3030. The normal business hours are 9am-6pm on Monday - Friday. You can find more information about the New York firm at brockcapital.com/independent-fiduciary.