The Brock Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The Brock Group, LLC is an independent, fee-based registered investment adviser that serves individuals, trusts, estates and business entities with ongoing investment management and project-based consultation. The firm provides portfolio management across stocks, mutual funds, exchange-traded funds, option contracts and fixed-income securities, and also offers advice limited to plan offerings for corporate retirement plans.
The firm builds client relationships through a data-gathering and discovery process, then implements customized asset-allocation strategies that generally emphasize diversification and the use of low-cost mutual funds and index strategies where appropriate. Clients are expected to participate in setting goals and constraints (for example via written investment policy statements), accounts are monitored on an ongoing basis and reviews are conducted at least annually or as conditions warrant.
Compared with peers, the firm is notable for managing roughly $93.9 million for about 253 clients while operating with a single advisory principal — a client-to-advisor ratio that is uncommon for independent solo practices and may reflect a mix of continuous management and lighter-touch engagements. The firm’s advisory representatives are also licensed insurance agents who may earn commissions on insurance transactions, a disclosed affiliation with the insurance industry that clients should consider when evaluating insurance recommendations.
Client services
Expertise
Occupation focus
Fee options
Project fees for consultation services may be quoted based on hours required; may require retainer equal to half the project fee
$50,000 - $249,999: 1.25% $250,000 - $499,999: 1.00% $500,000 - $749,999: 0.85% $750,000 - $999,999: 0.75% $1,000,000 - $1,499,999: 0.65% $1,500,000+: 0.50%
Advisory Representatives may earn commissions on insurance transactions; commissions separate from advisory fees
Hourly fee for consultation services: $200 per hour
Account minimum: $50,000 Minimum fee: $625 annual minimum fee when account falls below $50,000; $250 minimum annual fee for ongoing asset management services Fee-only: Investment advisory fees only; commissions may be earned on insurance products separately
Main office
110 W Liberty St.
Plymouth MI 48170
Advisors at this office
1
Most active in
Michigan · Texas
Also doing business as
The Brock Group · The Brock Group, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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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