This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

BROCK ASSET MANAGEMENT

Current firm class

state registeredderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 1, 1991earliest registration or exam on IAPD

Years in industry

35derivedfrom the industry start date

Years at current firm

14derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Oct 10, 1997

First registration

Jun 30, 1998

Dual registered

no

IAPD individual key

2961683

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2aef6d97-1ea6-1a22-b9b6-589d9ed37453

First observed

Jun 30, 1998

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.