Brock Fiduciary Services Llc
- Regulatory AUM
- $588M
- Discretionary
- $588M
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 1
- Employees
- 4
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 01, 2026
Asset allocation (SMA assets by investment type)
as of Apr 01, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | Fewer than 5 clients | $588M | 100.0% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brock, Charles, Lawrence | Chairman, Chief Executive Officer, And Chief Compliance Officer | Jan 2010 (17y) | Less than 5% | |
| Jongsoo Lee | Registered representative | Oct 2013 (13y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Brock Capital Group Llc | Sole Member | Jan 2010 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/01/2026 | 926 KB | 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
- • Fixed fees
Services
- • Other services
Custody
Reported custodians
- J.P. Morgan $5.4B (100% of AUM) Mar 2024
- State Street $3.7B (39% of AUM) Mar 2021
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: Apr 01, 2026.
View current Form ADV (SEC/IAPD) ↗