Seattle, WA Office

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.