AdvisorCensus / Financial advisors / New York / New York / Brock Fiduciary Services LLC
Brock Fiduciary Services LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2010, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated April 1, 2026.
Quick answers
From the filingHow is Brock Fiduciary Services LLC compensated?
On its Form ADV (Item 5.E, October 2026), Brock Fiduciary Services LLC reports these compensation arrangements: fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Brock Fiduciary Services LLC located?
Brock Fiduciary Services LLC's principal office is in New York, NY, according to its Form ADV.
Is Brock Fiduciary Services LLC registered with the SEC or a state?
Brock Fiduciary Services LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 153055.
How much does Brock Fiduciary Services LLC manage?
Brock Fiduciary Services LLC reports $588,153,609 in regulatory assets under management in its Form ADV filing dated April 1, 2026 (100% discretionary).
How have Brock Fiduciary Services LLC's assets and staff changed since 2021?
In the Form ADV data for Brock Fiduciary Services LLC: Regulatory assets under management: $9,471,000,000 in the October 2021 data and $588,153,609 in the October 2026 data, down 94%. Total employees: 8 in October 2021 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.
Does Brock Fiduciary Services LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153055
What changed in Brock Fiduciary Services LLC's recent Form ADV filings?
In the May 2026 filing data: Regulatory assets under management went from $805,003,601 to $588,153,609 (-27%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated April 1, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$588,153,609 as of October 2026, filing dated April 1, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2010 (16 years)
- Employees
- Total: 4. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $588,153,609 | 4 | April 1, 2026 |
| October 2025 | $805,003,601 | 5 | March 31, 2025 |
| October 2024 | $5,414,666,700 | 8 | March 29, 2024 |
| October 2023 | $5,439,666,700 | 8 | March 31, 2023 |
| October 2022 | $5,561,600,017 | 8 | March 31, 2022 |
| October 2021 | $9,471,000,000 | 8 | March 30, 2021 |
Regulatory assets under management: $9,471,000,000 in the October 2021 data and $588,153,609 in the October 2026 data, down 94%.
Total employees: 8 in October 2021 and 4 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- May 2026
- Regulatory assets under management went from $805,003,601 to $588,153,609 (-27%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Brock Fiduciary Services LLC (CRD 153055): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/brock-fiduciary-services-llc-new-york-ny-153055