# Brock Asset Management

> 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.

- CRD: 116791
- Filed as: BROCK ASSET MANAGEMENT
- Legal name: Brock Asset Management, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Gilbert, AZ
- Filing period: October 2026
- Form ADV filing dated: September 4, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/116791
- AdvisorCensus page: https://advisorcensus.com/firm/brock-asset-management-gilbert-az-116791

## Quick answers

**How is Brock Asset Management compensated?**
On its Form ADV (Item 5.E, October 2026), Brock Asset Management reports these compensation arrangements: a percentage of assets under its management.

**Where is Brock Asset Management located?**
Brock Asset Management's principal office is in Gilbert, AZ, according to its Form ADV.

**Is Brock Asset Management registered with the SEC or a state?**
Brock Asset Management is a state-registered investment advisory firm, registered since 2012. Status as filed: APPROVED. CRD 116791.

**How much does Brock Asset Management manage?**
Brock Asset Management reports $71,500,000 in regulatory assets under management in its Form ADV filing dated September 4, 2026 (78% discretionary).

**What types of clients does Brock Asset Management serve?**
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).

**Does Brock Asset Management report any disciplinary disclosures?**
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

**What changed in Brock Asset Management's recent Form ADV filings?**
In the October 2026 filing data: Regulatory assets under management went from $60,500,000 to $71,500,000 (+18%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $71,500,000
- Discretionary: $55,500,000
- Non-discretionary: $16,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 210 | $39,000,000 |
| High net worth individuals | 8 | $16,500,000 |
| Other | 4 | $16,000,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Educational seminars/workshops

### Firm details
- Registered since: 2012 (14 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- brockira.com

## Changes in the filing (last 12 months)

### October 2026
- Regulatory assets under management went from $60,500,000 to $71,500,000 (+18%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brock Asset Management (CRD 116791): Form ADV filing data as of October 2026.