{
  "crd_number": 116791,
  "slug": "brock-asset-management-gilbert-az-116791",
  "primary_business_name": "BROCK ASSET MANAGEMENT",
  "legal_name": "BROCK ASSET MANAGEMENT, LLC",
  "dbas": [],
  "city": "Gilbert",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2012-01-06",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-09-04",
  "carried_forward": false,
  "raum_total": 71500000.0,
  "raum_discretionary": 55500000.0,
  "raum_non_discretionary": 16000000.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 2,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 16000000.0,
      "count": 4,
      "description": "401(K) PLANS"
    },
    "individuals": {
      "raum": 39000000.0,
      "count": 210
    },
    "high_net_worth_individuals": {
      "raum": 16500000.0,
      "count": 8
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "periodicals_newsletters",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ"
  ],
  "websites": [
    "https://brockira.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116791",
  "city_as_filed": "GILBERT",
  "url": "https://advisorcensus.com/firm/brock-asset-management-gilbert-az-116791",
  "display_name": "Brock Asset Management",
  "summary": "Brock Asset Management is a state-registered investment advisory firm in Gilbert, AZ, registered since 2012, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 4, 2026.",
  "citation": "AdvisorCensus. Brock Asset Management (CRD 116791): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Publication of periodicals or newsletters",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is Brock Asset Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Brock Asset Management reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Brock Asset Management located?",
      "a": "Brock Asset Management's principal office is in Gilbert, AZ, according to its Form ADV."
    },
    {
      "q": "Is Brock Asset Management registered with the SEC or a state?",
      "a": "Brock Asset Management is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 116791."
    },
    {
      "q": "How much does Brock Asset Management manage?",
      "a": "Brock Asset Management reports $71,500,000 in regulatory assets under management in its Form ADV filing dated September 4, 2026 (78% discretionary)."
    },
    {
      "q": "What types of clients does Brock Asset Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (210); high net worth individuals (8); other (4)."
    },
    {
      "q": "Does Brock Asset Management report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/116791"
    },
    {
      "q": "What changed in Brock Asset Management's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Regulatory assets under management went from $60,500,000 to $71,500,000 (+18%)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Regulatory assets under management went from $60,500,000 to $71,500,000 (+18%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/brock-asset-management-gilbert-az-116791.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 210,
      "fewer_than_5": false,
      "raum": 39000000.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 8,
      "fewer_than_5": false,
      "raum": 16500000.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 4,
      "fewer_than_5": false,
      "raum": 16000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/116791",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}