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Brian Mock

Ip Financial Advisory Services LLC
24 Years of Experience
Peoria, AZ
5 DisclosuresBroker
View SEC Summary
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Brian Mock is a registered investment advisor at Ip Financial Advisory Services LLC, based in Peoria, AZ, with 24 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Charitable Giving, Education Planning, Estate Planning, High Net Worth, and 4 more. Their firm serves 2,001 clients with $480M in assets under management.

Ip Financial Advisory Services LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
133 advisors
Number of Clients
2,001 clients
Average Client Portfolio
$241K average
Assets Under Management
$481.4M

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Up to $250K3.00%
$250K+2.00%

Maximum annual fee is up to 3% and is negotiable. Alternatively, third-party investment programs range from 2.20% down to 1.40%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8251 W. Thunderbird Road, Ste: 140, Peoria, AZ, 85381

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
August 2019
Judgment / Lien
September 2016
Employment Separation After Allegations
October 2013
Judgment / Lien
June 2009
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Brian prepares tax returns for clients at Mock and Associates, a tax and accounting firm. He is also a Registered Representative with Innovation Partners LLC.

Employment History
Current Registrations
Ip Financial Advisory Services LLC
February 2020 - Present · 6 yrs 8 mos
Innovation Partners LLC
March 2014 - Present · 12 yrs 7 mos
Innovation Partners LLCBroker
March 2014 - Present · 12 yrs 7 mos
Previous Registrations
Innovation Partners LLC
April 2014 - May 2021 · 7 yrs 1 mo
Scf Investment Advisors, INC.
January 2012 - October 2013 · 1 yr 9 mos
Scf Securities, INC.Broker
December 2011 - October 2013 · 1 yr 10 mos
Jonathan Roberts Advisory Group, INC.
October 2009 - December 2011 · 2 yrs 2 mos
J.W. Cole Financial, INC.Broker
October 2009 - December 2011 · 2 yrs 2 mos
World Group Securities, INC.Broker
August 2003 - October 2009 · 6 yrs 2 mos
World Group Securities, INC.Broker
April 2002 - March 2003 · 11 mos
Wma Securities, INC.Broker
May 2001 - April 2002 · 11 mos
State Registrations2 states
AZIN
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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