T
The Brock Group, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$93,916,222
Clients
253
13% 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
253
Very HighAverage account size
$371,210
About
The Brock Group, LLC is an independent, fee-based registered investment adviser that serves individuals, trusts, estates and business entities with ongoing investment management and project-based consultation. The firm provides portfolio management across stocks, mutual funds, exchange-traded funds, option contracts and fixed-income securities, and also offers advice limited to plan offerings for corporate retirement plans.
The firm builds client relationships through a data-gathering and discovery process, then implements customized asset-allocation strategies that generally emphasize diversification and the use of low-cost mutual funds and index strategies where appropriate. Clients are expected to participate in setting goals and constraints (for example via written investment policy statements), accounts are monitored on an ongoing basis and reviews are conducted at least annually or as conditions warrant.
Compared with peers, the firm is notable for managing roughly $93.9 million for about 253 clients while operating with a single advisory principal — a client-to-advisor ratio that is uncommon for independent solo practices and may reflect a mix of continuous management and lighter-touch engagements. The firm’s advisory representatives are also licensed insurance agents who may earn commissions on insurance transactions, a disclosed affiliation with the insurance industry that clients should consider when evaluating insurance recommendations.
Client services
Financial planning
Portfolio management
Consultation services
Expertise
Options & derivatives strategies
Tax-loss harvesting
Occupation focus
Founder/Business Owner
Fee options
Project fees for consultation services may be quoted based on hours required; may require retainer equal to half the project fee
$50,000 - $249,999: 1.25% $250,000 - $499,999: 1.00% $500,000 - $749,999: 0.85% $750,000 - $999,999: 0.75% $1,000,000 - $1,499,999: 0.65% $1,500,000+: 0.50%
Advisory Representatives may earn commissions on insurance transactions; commissions separate from advisory fees
Hourly fee for consultation services: $200 per hour
Account minimum: $50,000 Minimum fee: $625 annual minimum fee when account falls below $50,000; $250 minimum annual fee for ongoing asset management services Fee-only: Investment advisory fees only; commissions may be earned on insurance products separately
Main office location
The Brock Group, LLC
110 W Liberty St.
Plymouth MI 48170, United States
Number of offices
1
Most active in
The Brock Group, LLC has reported serving >5 clients in these states in the last 12 months.
Michigan · Texas
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.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")