# 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.

- CRD: 153055
- Filed as: BROCK FIDUCIARY SERVICES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: April 1, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/153055
- AdvisorCensus page: https://advisorcensus.com/firm/brock-fiduciary-services-llc-new-york-ny-153055

## Quick answers

**How 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

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $588,153,609
- Discretionary: $588,153,609
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $588,153,609 |

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2010 (16 years)
- Employees: 4 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT, MI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- brockcapital.com/INDEPENDENT-FIDUCIARY
- LinkedIn @BROCK-CAPITAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $9,471,000,000 | 8 | March 30, 2021 |
| October 2022 | $5,561,600,017 | 8 | March 31, 2022 |
| October 2023 | $5,439,666,700 | 8 | March 31, 2023 |
| October 2024 | $5,414,666,700 | 8 | March 29, 2024 |
| October 2025 | $805,003,601 | 5 | March 31, 2025 |
| October 2026 | $588,153,609 | 4 | April 1, 2026 |

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.

## Changes in the filing (last 12 months)

### May 2026
- Regulatory assets under management went from $805,003,601 to $588,153,609 (-27%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brock Fiduciary Services LLC (CRD 153055): Form ADV filing data as of October 2026.