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BROCK FIDUCIARY SERVICES LLC

NEW YORK, NY · CRD 153055 · IAPD ↗ · brockcapital.com · 212-209-3000

$588.2MRegulatory AUM
1Advisory reps
4Employees
0Clients
n/aPlanning clients
0Private funds
3States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

38
May 2026 — BROCK FIDUCIARY SERVICES LLC reported RAUM down 27% ($805.0M -> $588.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
38
April 2025 — BROCK FIDUCIARY SERVICES LLC reported RAUM down 85% ($5.41B -> $805.0M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.