Raub/ Brock Capital Management, Inc. (Larkspur)


Raub/ Brock Capital Management, Inc. is a large advisory firm based in Larkspur. It manages $86.8 million of regulatory assets for 216 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of California and Texas.

Raub/ Brock Capital Management provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for pooled investment vehicles. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Raub/ Brock Capital Management: assets under management

The assets under management (AUM) of Raub/ Brock Capital Management, Inc. is $86.8 million. The firm's AUM has grown by 185% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $83.56 million in discretionary accounts and $3.24 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $428.51 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $154.5 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Raub/ Brock Capital Management, Inc. for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Raub/ Brock Capital Management, Inc.

Francis James Brock has been acting as President since 1 May 2001. David Wright Raub joined the executive team most recently as the Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Wright Raub Vice president 1 May 2001 50% - 75% 2104260
Francis James Brock President 1 May 2001 50% - 75% 31072
F James Brock President/chief compliance officer 1 May 2001 50% - 75% 31072

Based in Larkspur

The principal office where Raub/ Brock Capital Management, Inc. performs its advisory services is located at 700 Larkspur Landing Circle, Larkspur, CA 94939, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-927-6990 or by fax 415-927-6996. The normal business hours are 8:30 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at www.raubbrock.com.

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