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Brock Securities LLC (New York)


Brock Securities LLC is a large advisory firm based in New York. It manages $4.59 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2009.

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Brock Securities provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Brock Securities: assets under management

The assets under management (AUM) of Brock Securities LLC is $4.59 billion, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.


The firm manages $4.59 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.59 billion each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Brock Securities LLC for their services and products based on hourly charges and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in New York

The principal office where Brock Securities LLC performs its advisory services is located at 622 Third Avenue, 12 Th Floor, New York, NY 10019, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-209-3000 or by fax 212-209-3030. The normal business hours are 9am-6pm on Monday - Friday. You can find more information about the New York firm at www.brockcapital.com.


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