Brock Riggi is a CFP-designated registered investment advisor at Northrock Partners, LLC, based in Valparaiso, IN, 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 Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 4,811 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.50% |
Annual fee ranges between 0.50% and 1.50% based on the size, nature, and complexity of the relationship. An additional 0.25% account-level fee applies to assets held at Schwab and Fidelity for account servicing and operational costs. There is a minimum annual fee of $5,000.
Fee Estimator
Location
260 Franklin Street, Valparaiso, IN, 46383
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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 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
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
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