Brock Asset Management, Llc
- Regulatory AUM
- $60.5M
- Discretionary
- $43.0M
- Clients
- 207
- Avg AUM / client
- $292K
- Accounts
- 350
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 190 | $30.0M | 49.6% |
| High net worth individuals | 8 | $13.0M | 21.5% |
| Other | 9 | $17.5M | 28.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Clear Title Agency Of Arizona 401(k) Plan Clear Title Agency Of Arizona | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ramsey Fulton Brock | Registered representative | Jan 2012 (15y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Clear Title Agency Of Arizona 401(k) Plan | Clear Title Agency Of Arizona | 89 | $5.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/19/2025 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $33.0M (55% of AUM) May 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 19, 2025.
View current Form ADV (SEC/IAPD) ↗