BROCK FIDUCIARY SERVICES LLC
Adviser information for BROCK FIDUCIARY SERVICES LLC last updated from Form ADV on March 29th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $5.4B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $5.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | <5 | $5.4B |
| 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 |
Services
| Advisory Services | INDEPENDENT FIDUCIARY SERVICES |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-71132 |
|---|---|
| SEC ERA File Number | 801-71132 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153055 |
| Legal Entity Identifier | None |
Principal Office
505 PARK AVENUE14TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-6PM
Tel: 212-209-3000, Fax: 212-209-3030
Chief Compliance Officer
CHARLES BROCK
505 PARK AVENUE
14TH FLOOR
NEW YORK
NY
United States
Tel:
212-209-3000
Fax:
212-209-3030
C*****@***************M
(Full email address available in API data)
Regulatory Contact
CAROLINE GREENWOOD
OFFICE MANAGER
505 PARK AVENUE
14TH FLOOR
NEW YORK
NY
United States
Tel:
212-209-3000 EXT 190
C*********@***************M
(Full email address available in API data)
Industry Affiliates
| BROCK SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROCK CAPITAL GROUP LLC | Domestic Entity | – | SOLE MEMBER | 01/2010 | > 75% |
| BROCK, CHARLES, LAWRENCE | Individual | – | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | 01/2010 | < 5% |