Brock Cooper
Brock Cooper is a registered investment advisor at Principal Securities, INC., based in Saint Croix Falls, WI, with 26 years of industry experience. Brock operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 48,723 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Principal Securities offers investment management through third-party money managers. The fees you pay depend on the specific program you choose and the amount you invest.
Under the Investment Adviser arrangement, Principal Securities charges a separate advisory fee, which is negotiable but will not exceed the following:
SEI Investment Management Corporation (Managed Account Solutions):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets of $1 million and up
SEI Investment Management Corporation (Mutual Fund Model Program):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets between $1,000,000 and $2,000,000
- Up to 0.90% annually on assets of $2,000,001 and up
Fees are collected quarterly.
Under the Promoter arrangement, you don't pay Principal Securities any fees directly. The TPMM calculates and collects all fees and then pays a portion to Principal Securities as a promoter's fee, ranging from 0.07% to 1.5% of assets or up to 50% of the advisory fee.
Location
Saint Croix Falls, WI
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Brock is an owner/member of BDNC Holdings, LLC, a parent entity for tax management of family investment and property ownership. He also owns/is a member of BDNC Investments, LLC, and 2385 60, LLC, entities created to manage taxation on investment accounts and personal recreation property, respectively; Brock spends minimal time on these activities.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Ing Financial Partners, INC.Broker
Invest Financial Corporation
Invest Financial CorporationBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.