SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Greenrock Research, Inc.
Chicago, IL
CRD 131825
Firm filing updated March 27, 2026 ·
- $863.9MAssets
- 25Clients
- 3Advisory staff
- 1,880Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Other investment advisors21
- Individuals4
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 4 | $21.5 million |
| Other investment advisors | 21 | $842.4 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
See all 6 services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "PROVISION OF INVESTMENT ADVICE AND RESEARCH THROUGH ADVISOR CONSULTATIONS"
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Other: "PROVISION OF INVESTMENT ADVICE AND RESEARCH THROUGH ADVISOR CONSULTATIONS"
Assets and accounts
- Regulatory assets$863.9 million
- Accounts1,880
- Discretionary$515.9 million · 1,050 accounts
- Non-discretionary$348.0 million · 830 accounts
People
- Employees6
- Advisory staff3
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 131825, SEC file 801-69664.
- Registered with the SEC as an investment advisor (status date on record: October 21, 2008).
Is Greenrock Research, Inc. a fiduciary?
Short answer: Greenrock Research, Inc. is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.