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Northrock Investments, Pllc
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$19,971,079
Clients
81
10% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
81
Very HighAverage account size
$246,557
About
Northrock Investments, PLLC is a state‑registered investment adviser that provides portfolio management and financial planning to individual and high‑net‑worth clients. Services described in the brochure include discretionary and non‑discretionary managed accounts, written investment strategies and recommendations across cash, equities, mutual funds, bonds and annuities, and the firm states it does not impose a minimum account size.
The firm says it tailors advice to each client’s objectives, time horizon and risk tolerance and may employ asset allocation, dollar‑cost averaging, technical analysis and both long‑ and short‑term purchases as appropriate. Accounts are typically custodied through a national broker‑dealer platform recommended by the firm and are reviewed at least quarterly; clients may impose written investment restrictions.
A distinctive feature disclosed in the brochure is that the firm’s principal is also a licensed insurance agent and may offer commissionable insurance products, an activity the firm notes can consume up to 30% of the principal’s time and which creates a potential conflict of interest that is disclosed to clients. The brochure also highlights that some third‑party service providers used by the firm incorporate artificial intelligence or machine learning and that the firm conducts periodic due diligence to address related data accuracy and security risks, a point not commonly emphasized by peer independent advisers.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Fee options
Fixed fees for financial planning projects range from $1,000 to $2,500 per project
$0 - $500,000: 1.00% annually $500,001 - $1,000,000: 0.80% annually $1,000,001+: 0.50% annually
Hourly fees range from $100 to $250 per hour for financial planning services
Fee-only: Financial planning fees charged as fixed fees ($1,000 to $2,500 per project) or hourly fees ($100 to $250 per hour), negotiated per client
Main office location
Northrock Investments, Pllc
Tucson AZ, United States
Number of offices
1
Most active in
Northrock Investments, Pllc has reported serving >5 clients in these states in the last 12 months.
Arizona
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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