B.A. SCHROCK WEALTH MANAGEMENT
B.A. SCHROCK WEALTH MANAGEMENT, INC. Legal Name
Adviser information for B.A. SCHROCK WEALTH MANAGEMENT last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,027 | $162.1M |
| Non-Discretionary | 0 | $0 |
| Total | 1,027 | $162.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 468 | $88.2M |
| HNW Individuals | 53 | $73.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 162.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| B.A. SCHROCK WRAP PROGRAM | B.A. SCHROCK WEALTH MANAGEMENT |
| CHARLES SCHWAB WRAP FEE PROGRAM | CHARLES SCHWAB & CO., INC. |
Identifiers
| SEC RIA File Number | 801-127681 |
|---|---|
| SEC ERA File Number | 801-127681 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 304694 |
| Legal Entity Identifier | None |
Principal Office
131 COLLEGE STREETWADSWORTH
OH
United States
Monday - Friday, 8:30 TO 5:00
Tel: 330-473-1060, Fax: None
Chief Compliance Officer
BENJAMIN A. SCHROCK
PRESIDENT
131 COLLEGE STREET
WADSWORTH
OH
United States
Tel:
330-473-1060
B**@***************M
(Full email address available in API data)
Industry Affiliates
| B.A. SCHROCK FINANCIAL GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHROCK, BENJAMIN, ARTHUR | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 06/2019 | > 75% |