Brock Riggi is a CFP-designated registered investment advisor at Northrock Partners, LLC, based in Shorewood, IL, with 12 years of industry experience. Brock operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 2,698 clients with $6.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
NorthRock Partners manages investment portfolios for clients, charging a fee based on a percentage of the assets they manage. This fee generally ranges from 0.50% to 1.25% per year, depending on the size and complexity of the client relationship. For assets held at Charles Schwab or Fidelity and managed directly by NorthRock, an additional 0.25% is charged to cover brokerage and transaction fees, bringing the total fee to 0.75% - 1.50% annually. Some clients are billed in arrears, with fees ranging from 0.45% to 0.90% based on the amount of assets managed.
Location
862 Center Ct., Unit D, Shorewood, IL, 60404
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Brock is a finance committee board member for Riggi since February 2023, dedicating minimal time. He also owns Coal City High School and works for Linear Operations, taking about 10-20% of his time and about a third of his time, respectively.
Employment History
Current Registrations
Northrock Partners, LLC
Previous Registrations
Ameriprise Financial Services, LLC
Ameriprise Financial Services, LLCBroker
State Registrations3 states
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