9AT: BROCK FIDUCIARY SERVICES LLC

Adviser Profile

As of Date	04/01/2026
Registration	SEC, Approved, 03/04/2010
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	588,153,609 -89%
of that, discretionary	588,153,609 -89%
Number of Employees	4 -50%
of those in investment advisory functions	1
Private Fund GAV^*	0
Avg Account Size	588,153,609 -89%
SMA’s	Yes
Private Funds	0

Adviser Type

- Pension consultant

Client Types

- Pension and profit sharing plans

Advisory Activities

Compensation Arrangments

- Fixed fees (other than subscription fees)

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser AMG FUNDS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM18.3b	#Funds4
Adviser NLG CAPITAL LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM46.5b	#Funds-
Adviser ALAN BILLER AND ASSOCIATES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM65.1b	#Funds-
Adviser FREEDOM FUNDS MANAGEMENT CO	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.9b	#Funds-
Adviser TIMOTHY PARTNERS, LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.9b	#Funds-
Adviser ETF ARCHITECT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM29.7b	#Funds-
Adviser ABRDN ETFS ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser WEALTHFRONT STRATEGIES LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM111.6m	#Funds-
Adviser DUPREE & COMPANY, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM888.2m	#Funds-
Adviser BLACKSTONE CREDIT BDC ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM100.6b	#Funds-

Brochure Summary

Overview

Firm Description Brock Fiduciary Services LLC is an Investment Adviser providing advice to pension and profit-sharing plans, as well as trusts. The Firm was founded in 2009. The parent company Brock Capital Group LLC was founded in 2002. Principal Owner The Firm is a wholly owned subsidiary of Brock Capital Group LLC. Types of Advisory Services Brock offers independent fiduciary services, portfolio management, and general investment advice. Independent Fiduciary Services Acting as an independent fiduciary, the Firm represents the interests of plan participants in employee benefit plans holding employer stock or other securities. The use of an independent fiduciary: ▪ gives plan participants an independent, expert voice to respond to company efforts that might otherwise adversely affect benefit plan assets; ▪ permits benefit plans to take advantage of attractive investment opportunities that ERISA’s prohibited transaction provisions would otherwise preclude;

and ▪ helps extricate plan sponsors and general fiduciaries from conflict situations that may threaten them with significant legal liabilities. In connection with providing independent fiduciary services, the Firm may assume discretionary management of client assets. Portfolio Management and General Investment Advice Brock provides continuous advice to clients regarding investment of client funds based on their individual needs and restrictions, if any. The Firm works closely with its clients to establish tailored investment strategies and objectives. The services provided may include advice on portfolio construction, asset allocation, portfolio review/analysis and analysis/management of specific securities. Client Assets As of 12/31/2022, the Firm manages approximately $5,439,666,700 in assets, all of which is managed on a discretionary basis.
5 | B r o c k F i d u c i a r y S e r v i c e s L L C

BROCK FIDUCIARY SERVICES LLC

BROCK FIDUCIARY SERVICES LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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BROCK FIDUCIARY SERVICES LLC BROCK FIDUCIARY SERVICES LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

BROCK FIDUCIARY SERVICES LLC

BROCK FIDUCIARY SERVICES LLC