BROCK FIDUCIARY SERVICES LLC
CRD #153055 SEC #801-71132 NEW YORK, NY 212-209-3000
SEC Registered
Total AUM
$805M
Discretionary
$805M
Employees
5
Clients
--
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2025
- Branch Offices
- 0
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, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHARIMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CO-CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK, CHARLES, LAWRENCE | I | CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER | NA | Control |
| JOSSE, JEREMY, MARC | I | COMPLIANCE DIRECTOR | NA | Control |
| JOSSE, JEREMY, MARC | I | COMPLIANCE DIRECTOR | NA | Control |
| LEBEC, ALAIN, MARCEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEBEC, ALAIN, MARCEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LEBEC, ALAIN, MARCEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MATHUR, ABHISHEK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MATHUR, ABHISHEK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MATHUR, ABHISHEK | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAUNDERS, MATTHEW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SAUNDERS, MATTHEW | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
| BROCK CAPITAL GROUP LLC | DE | SOLE MEMBER | E | Control |
Registrations
Federal
IA
Mar 31, 2025 REGISTERED
Notice Filings (3)
CT MI TX
Address
505 PARK AVENUE14TH FLOOR
NEW YORK, NY 10022
United States
Phone: 212-209-3000