RAUB/ BROCK CAPITAL MANAGEMENT, INC.
Legal name: RAUB/BROCK CAPITAL MANAGEMENT, INC.
CRD #118034 SEC #801-63606 LARKSPUR, CA 415-927-6990
SEC Registered
Total AUM
$82.7M
Discretionary
$78.5M
Employees
5
Clients
10
Accounts
76
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 26, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROCK, F, JAMES | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| BROCK, F, JAMES | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| BROCK, F, JAMES | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| BROCK, FRANCIS, JAMES | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| BROCK, FRANCIS, JAMES | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | D | Control |
| RAUB, DAVID, WRIGHT | I | VICE PRESIDENT | D | Control |
| RAUB, DAVID, WRIGHT | I | VICE PRESIDENT | D | Control |
| RAUB, DAVID, WRIGHT | I | VICE PRESIDENT | D | Control |
| RAUB, DAVID, WRIGHT | I | VICE PRESIDENT | D | Control |
| RAUB, DAVID, WRIGHT | I | VICE PRESIDENT | D | Control |
Registrations
Federal
IA
Mar 26, 2009 REGISTERED
Notice Filings (1)
CA
Address
700 LARKSPUR LANDING CIRCLESUITE 240
LARKSPUR, CA 94939
United States
Phone: 415-927-6990