DFX Intelligence

Data Factory

RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

BROCK FIDUCIARY SERVICES LLC

CRD 153055

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:80eb7dca-d84b-961d-77b3-0882b74cb122

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 4
On other graphs: 0
Observed: Mar 12, 2012 to Apr 1, 2026
20 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $588MItem 5.F on the latest filing (2026-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $588M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $588Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-71132
CRD: 153055
Filings on the tape: 20
First filed: Mar 12, 2012
Latest filed: Apr 1, 2026
Organised: Limited Liability Company, DE
Website: brockcapital.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JONGSOO LEE	n/a	NEW YORK, NY	12	19	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROCK CAPITAL GROUP LLC	SOLE MEMBER	E	yes	01/2010	Mar 12, 2012	Mar 29, 2024
BROCK, CHARLES, LAWRENCE	CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER	Na	yes	01/2010	Mar 12, 2012	Mar 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BROCK SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$588M	$588M	4	1	0	n/a	n/a
2024	Mar 31, 2025	$805M	$805M	5	1	0	n/a	n/a
2023	Mar 29, 2024	$5.4B	$5.4B	8	1	0	n/a	n/a
2022	Mar 31, 2023	$5.4B	$5.4B	8	1	0	n/a	n/a
2021	Mar 31, 2022	$5.6B	$5.6B	8	1	0	n/a	n/a
2020	Mar 30, 2021	$9.5B	$9.5B	8	1	0	n/a	n/a
2019	Mar 26, 2020	$12B	$12B	8	1	0	n/a	n/a
2018	Apr 4, 2019	$12B	$12B	8	1	0	n/a	n/a
2017	Apr 5, 2018	$15B	$15B	7	1	0	n/a	n/a
2016	Mar 31, 2017	$13B	$13B	5	5	n/a	n/a	n/a
2015	Mar 30, 2016	$13B	$13B	22	22	n/a	n/a	n/a
2014	Mar 17, 2015	$23B	$23B	10	5	n/a	n/a	n/a
2013	Mar 12, 2014	$32B	$32B	10	5	n/a	n/a	n/a
2012	Apr 1, 2013	$23B	$23B	10	5	n/a	n/a	n/a
2011	Mar 12, 2012	$23B	$23B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$588M	$805M	-26.9%	$5.4B	-52.4%	4	5	0	0

Relationships

Registered with (1)

← JONGSOO LEEAdvisorregistration: current employment
Oct 24, 2013 to presentfactForm ADV

Controls (2)

← BROCK, CHARLES, LAWRENCEOwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2012 to Mar 29, 2024factForm ADV
← BROCK CAPITAL GROUP LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 12, 2012 to Mar 29, 2024factForm ADV

Dated events

Occurred
Apr 1, 2026
Regulatory AUM changed
Brock Fiduciary Services Llc reported RAUM $588.2M, down 27% from $805.0M (2025-03-31 to 2026-04-01)
Form ADVobserved 4 days ago
$-217M
Occurred
Mar 31, 2025
Regulatory AUM changed
Brock Fiduciary Services Llc reported RAUM $805.0M, down 85% from $5.4B (2024-03-29 to 2025-03-31)
Form ADVobserved 4 days ago
$-4.6B
Occurred
Mar 31, 2022
Regulatory AUM changed
Brock Fiduciary Services Llc reported RAUM $5.6B, down 41% from $9.5B (2021-03-30 to 2022-03-31)
Form ADVobserved 4 days ago
$-3.9B
Occurred
Apr 4, 2019
Control person left
Marc Jeremy Josse (Compliance Director) no longer on Schedule A of Brock Fiduciary Services Llc (listed 2018-04-05, absent 2019-04-04)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80eb7dca-d84b-961d-77b3-0882b74cb122
First observed: Mar 12, 2012
Last observed: Apr 1, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds 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.

BROCK FIDUCIARY SERVICES LLC

CRD 153055

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:80eb7dca-d84b-961d-77b3-0882b74cb122

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JONGSOO LEE

n/a

NEW YORK, NY

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROCK CAPITAL GROUP LLC

SOLE MEMBER

yes

01/2010

Mar 12, 2012

Mar 29, 2024

BROCK, CHARLES, LAWRENCE

CHAIRMAN, CHIEF EXECUTIVE OFFICER, AND CHIEF COMPLIANCE OFFICER

yes

01/2010

Mar 12, 2012

Mar 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BROCK SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 1, 2026

$588M

n/a

2024

Mar 31, 2025

$805M

n/a

2023

Mar 29, 2024

$5.4B

n/a

2022

Mar 31, 2023

$5.4B

n/a

2021

Mar 31, 2022

$5.6B

n/a

2020

Mar 30, 2021

$9.5B

n/a

2019

Mar 26, 2020

$12B

n/a

2018

Apr 4, 2019

$12B

n/a

2017

Apr 5, 2018

$15B

n/a

2016

Mar 31, 2017

$13B

n/a

2015

Mar 30, 2016

$13B

n/a

2014

Mar 17, 2015

$23B

n/a

2013

Mar 12, 2014

$32B

n/a

2012

Apr 1, 2013

$23B

n/a

2011

Mar 12, 2012

$23B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$588M

$805M

-26.9%

$5.4B

-52.4%