THE BROCK GROUP, LLC

Overview

The Brock Group, LLC is an independent registered investment adviser structured as an LLC that concentrates on financial planning and portfolio management for individuals and small businesses. The firm serves individual and family clients, charging by percentage of assets under management and offering hourly and fixed-fee engagements for planning work. Investment activity is centered on pooled public funds and third‑party manager strategies rather than direct private deal underwriting; the firm is not a capital allocator and relies on external managers for alternative exposure. It is not positioned as an active ESG investor. Practically, The Brock Group builds client portfolios around mutual funds and model strategies held at a primary custodian relationship. Advisory work mixes discretionary portfolio management—where the firm implements and rebalances holdings—with non‑discretionary advisory relationships for clients who retain final trading authority. The firm also lists an industry affiliation with an insurance company, indicating insurance solutions may play a role in client planning and risk management conversations.

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Location & Offices