Brock Asset Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$43,000,000
This total excludes 9 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
198
4% high-net-worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
198
Very HighAverage account size
$217,172
About
The firm provides portfolio management to individuals, trusts, small businesses and non‑profits and operates a 401(k) advisory service under a trade name to help employers set up and administer retirement plans, including plans accepted at any size with no required minimums. It limits its investment menu to publicly listed stocks, bonds, ETFs and mutual funds and does not take custody of client assets, instead suggesting established custodians for custody and statements.
The investment approach is value‑oriented and fundamental, using a proprietary analytical screening process that emphasizes profitability, liquidity, return on equity/assets, cash flow, dividends and a margin of safety. The firm favors large‑capitalization, liquid companies, prefers long holding periods (often characterized as “forever”), and avoids high‑risk strategies, derivatives, penny stocks and frequent trading.
Noteworthy features relative to peers include a practice of providing educational workshops for 401(k) clients and sending regular written monthly reports and year‑end tax statements to clients, activities that are less common among similar firms. The firm is led by a single long‑tenured managing member who personally reviews client accounts on a daily and weekly basis and applies the same screening and oversight across both discretionary and non‑discretionary relationships.
Client services
Portfolio management
Newsletters or periodicals
Educational seminars or workshops
Expertise
Wealth management
Passive / index investing
Fee options
$0 - $2,000,000: 1% per annum $2,000,001 - $5,000,000: 0.95% per annum $5,000,001 - $10,000,000: 0.85% per annum $10,000,001+: 0.75% per annum
Account minimum: No minimum to establish, no minimum amount to deposit monthly or no minimum for retirement accounts in any total amount ongoing. Fee-only: Up to 1% of assets under management, tiered by asset level as specified.
Main office location
Brock Asset Management
Gilbert AZ, United States
Number of offices
1
Most active in
Brock Asset Management has reported serving >5 clients in these states in the last 12 months.
Arizona
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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