BROCK FIDUCIARY SERVICES LLC
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BROCK FIDUCIARY SERVICES LLC
(CRD# 153055)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 2010.
In
Apr 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$14.9 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
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BROCK FIDUCIARY SERVICES LLC
also reported in
Apr 2018
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7
employees,
with
1
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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BROCK FIDUCIARY SERVICES LLC has no disclosure events reported to the SEC at this time.
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BROCK FIDUCIARY SERVICES LLC has Notice Filings with the following State Securities Authorities:
CT-Mar 2014, MI-Apr 2013, TX-Apr 2013
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