Brock Asset Management

Brock Asset Management serves individuals, trusts, small businesses and nonprofit organizations, and offers portfolio management for individual accounts as well as non‑discretionary advisory services for employer 401(k) plans through its 401‑IRA Company dba. The firm limits its recommendations to publicly listed stocks, bonds, exchange‑traded funds and mutual funds and provides written monthly account reports to clients.

The firm follows a proprietary, value‑oriented fundamental screening process that emphasizes profitability, low leverage, cash flow, return on equity/assets and a margin of safety, and it favors established, large‑capitalization companies intended for long‑term holding. The managing member typically seeks discretionary trading authority for client accounts, conducts daily reviews of holdings, and generally avoids frequent trading, derivatives, IPOs and penny‑stock strategies.

Distinctive features include an explicit program of educational workshops for 401(k) participants and a no‑minimum, low‑cost 401(k) allocation approach that relies largely on Vanguard funds, together with regular written monthly communications to participants — services that the firm highlights as part of its participant education and engagement. The firm also operates on a fee‑only, AUM‑based compensation model, discloses no revenue from third‑party payments, and notes that its managing member handles portfolio decisions drawing on extensive private‑sector and public‑budget administration experience.