Brock Asset Management

The firm provides portfolio management to individuals, trusts, small businesses and non‑profits and operates a 401(k) advisory service under a trade name to help employers set up and administer retirement plans, including plans accepted at any size with no required minimums. It limits its investment menu to publicly listed stocks, bonds, ETFs and mutual funds and does not take custody of client assets, instead suggesting established custodians for custody and statements.

The investment approach is value‑oriented and fundamental, using a proprietary analytical screening process that emphasizes profitability, liquidity, return on equity/assets, cash flow, dividends and a margin of safety. The firm favors large‑capitalization, liquid companies, prefers long holding periods (often characterized as “forever”), and avoids high‑risk strategies, derivatives, penny stocks and frequent trading.

Noteworthy features relative to peers include a practice of providing educational workshops for 401(k) clients and sending regular written monthly reports and year‑end tax statements to clients, activities that are less common among similar firms. The firm is led by a single long‑tenured managing member who personally reviews client accounts on a daily and weekly basis and applies the same screening and oversight across both discretionary and non‑discretionary relationships.