Greenrock Asset Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
GreenRock Asset Management provides discretionary portfolio management and financial planning primarily for individual and high-net-worth clients, as well as trusts and institutional accounts. Services include ongoing portfolio management across equities, fixed income, mutual funds, ETFs, annuities, and access to alternative investments, along with consulting, workshops, and periodic performance reporting.
The firm follows an active, IPS-driven approach with daily management and periodic client reviews, combining fundamental, technical, and charting analysis to set asset allocation and security selection. It implements derivative strategies — including options and futures at multiple trading levels and margin trading — and offers performance-based fee arrangements for qualified clients that include benchmark-based hurdles and high-water mark mechanics.
Notable differentiators for a firm of this size include a very small client roster and modest assets under management relative to its stated advisory minimums, a deliberate use of derivatives within separately managed accounts, and the practice of charging performance-based fees for select clients — both of which are uncommon among peers. The firm also has a recent regulatory consent order resolving state securities allegations and discloses a prior custodial relationship that ended over trading concerns, facts it reports alongside its ongoing custody arrangement with an independent broker‑dealer.
Client services
Expertise
Fee options
$0 - $999,999: 1.5% annually $1,000,000+: 1.0% annually
Generally $250/hr, negotiable
23% of net new profits above SPDR S&P 500 ETF Trust (SPY) annualized hurdle rate for qualified clients
Account minimum: $1,000,000
Main office
See officeBrier WA
Advisors at this office
1
Offices (2)
Most active in
Texas · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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
Advisors at this firm
Steven P
Series 63, Series 65
Seattle, WA
Greenrock Asset Management LLC
Steven Poirier is a financial advisor at Greenrock Asset Management LLC with nine years of industry experience. He previously worked at Ameriprise Financial Services, Inc., The Prudential Insurance Company of America, and Pruco Securities, LLC. Poirier holds Series 63 and Series 65 licenses. Greenrock Asset Management provides discretionary portfolio management, financial planning, and consulting services to individuals, trusts, companies, and institutional clients. The firm employs active, tactical portfolio management with continuous oversight and uses derivatives and performance-based fee arrangements, which are uncommon among similar independent advisers.
Mark L
Series 66
Brier, WA
Greenrock Asset Management LLC
Mark Lalich is a financial advisor at GreenRock Asset Management LLC with 10 years of industry experience. He holds a Series 66 designation and previously worked at Ameriprise Financial Services Inc and Edward Jones. Outside of his advisory role, Lalich is CEO and board chairman of Rust Gym Inc., an educational subscription service teaching computer programming, and he owns Lalich Principle Consortium, a holding company with interests including an optometry business. GreenRock Asset Management provides discretionary portfolio management, financial planning, and consulting services to individuals, trusts, companies, and institutional clients. The firm employs active, tactical portfolio management with the use of derivatives and may enter into performance-based fee arrangements, distinguishing itself among independent advisers.
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