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BROCK FIDUCIARY SERVICES LLC
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% .  
 
BROCK FIDUCIARY SERVICES LLC also reported in Apr 2018
  • 7 employees, with 1 performing advisory functions.
  • One office location.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
BROCK FIDUCIARY SERVICES LLC has no disclosure events reported to the SEC at this time.
 

View BROCK FIDUCIARY SERVICES LLC's most recent Form ADV filing
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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


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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