{"url":"https://nivawealth.com/firms/zock-robert-a-and-co-110480","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110480","regulatoryAum":175076230,"crd":"110480","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2865492","suffix":null,"lastName":"ZOCK JR.","firstName":"ROBERT","middleName":"ANTHONY"},{"crd":"4389083","suffix":null,"lastName":"ZOCK","firstName":"MAUREEN","middleName":"ANN"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-30","regulatoryAum":133140949,"clients":104,"employees":2,"offices":3},{"filedOn":"2022-03-30","regulatoryAum":142761459,"clients":100,"employees":2,"offices":3},{"filedOn":"2023-03-28","regulatoryAum":140198969,"clients":101,"employees":2,"offices":3},{"filedOn":"2024-03-28","regulatoryAum":145447543,"clients":92,"employees":1,"offices":1},{"filedOn":"2025-03-31","regulatoryAum":155424857,"clients":93,"employees":1,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":175076230,"clients":96,"employees":1,"offices":1}],"secFileNumber":"801-11929","legalName":"Zock Robert A & Co Inc","displayName":"Zock Robert A & Co","slug":"zock-robert-a-and-co-110480","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Massachusetts corporation","fiscalYearEnd":"December","headquarters":{"street":"98 Birch Hill Road","city":"Sutton","state":"NH","stateName":"New Hampshire","country":"United States","postalCode":"03278"},"tradeNames":[],"registration":{"secApproved":"10 September 1976","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1546658.6666666667,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":175076230,"discretionary":175076230,"discretionaryAccounts":100,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":10,"regulatoryAum":5629156},{"label":"High-net-worth individuals","clients":86,"regulatoryAum":142850076},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":26596998}],"feePrograms":[{"role":"main","program":"Investment management","feeBasis":"marginal","fee_tiers":[{"to":2000000,"pct":0.75,"from":0},{"to":null,"pct":0.6,"from":2000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969588","versionId":969588,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"RAZCOADVPARTIIA25","fee_rate_low":0.6,"fee_rate_high":0.75,"fee_negotiable":null,"minimum_account":500000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Non-US multicurrency account administration","summary":"Administrative assistance and advice for non-US multicurrency securities accounts, charged a 1.0% annual fee based on the quarterly market value of those accounts.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969588","versionId":969588,"submittedOn":"2026-03-31","documentName":"RAZCOADVPARTIIA25"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:07:01.90395+00:00","documents":[{"name":"RAZCOADVPARTIIA25","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969588","versionId":969588,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Fiduciary Trust Company","shortName":"Fiduciary Trust","location":"Boston, MA","smaAssets":89469299},{"name":"Baumann & Cie Banquiers","shortName":"Baumann & Cie Banquiers","location":"Basel","smaAssets":16441862}],"custodyNote":"Zock Robert A & Co has custody of $153M in client assets for 93 clients.","otherCustodians":[],"leadership":[{"name":"Robert Zock Jr.","title":"President/Chief Compliance Officer","crd":"2865492"},{"name":"Maureen Zock","title":"Director","crd":"4389083"}],"ownership":[{"label":"Robert A Zock 1974 Family Trust","detail":"Owner in the 5% to 10% ownership band and a control person, since July 2023."},{"label":"Maureen Zock","detail":"Director in the 5% to 10% ownership band, since June 1976."},{"label":"Robert Zock Jr.","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since January 2002."},{"label":"Zock, Maureen, Ann; Zock, Robert, Anthony, JR.; Zock, Margaret, Theresa","detail":"Indirect owner: trustees/shareholders of Robert A Zock 1974 Family Trust, since July 2023.","parent":"Robert A Zock 1974 Family Trust"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Hampshire","offices":1,"addresses":[{"street":"98 Birch Hill Road","city":"Sutton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"603-456-3106","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Non-exchange-traded equity securities","percent":55},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":14},{"label":"Cash and cash equivalents","percent":11},{"label":"Other","percent":14,"detail":"Metals, Real Estate, Life Insurance Cash Value"}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110480/PDF/110480.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=969588","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Zock Robert A & Co have?","answer":"Zock Robert A & Co has 96 clients and manages $175 million for them, as of March 2026. They include 86 high-net-worth individuals and 10 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Zock Robert A & Co offer?","answer":"Zock Robert A & Co provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Zock Robert A & Co charge?","answer":"Zock Robert A & Co charges 0.60%–0.75% a year for its Investment management. Each asset band is charged at its own rate. The fee is billed in arrears and requires an account of at least $500,000.","source":"RAZCOADVPARTIIA25, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Zock Robert A & Co use?","answer":"Zock Robert A & Co’s separately managed account assets are held at Fiduciary Trust Company (Boston, MA), with $89.5M and Baumann & Cie Banquiers (Basel), with $16.4M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Zock Robert A & Co have?","answer":"Zock Robert A & Co has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Zock Robert A & Co invest in?","answer":"At the end of its last fiscal year, Zock Robert A & Co’s separately managed accounts held 55% non-exchange-traded equities, 14% pooled vehicles (private funds and similar), 14% other, 11% cash and equivalents, 2% U.S. government and agency bonds, 2% state and local bonds, 1% exchange-traded equities and 1% investment grade corporate bonds. The 14% other category is described as: Metals, Real Estate, Life Insurance Cash Value.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Zock Robert A & Co have a minimum investment?","answer":"Yes, Zock Robert A & Co’s minimum account size for its Investment management is $500K.","source":"RAZCOADVPARTIIA25, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Zock Robert A & Co?","answer":"Zock Robert A & Co’s direct owners are Robert A Zock 1974 Family Trust (5% to 10%), Maureen Zock (5% to 10%) and Robert Zock Jr. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Zock Robert A & Co get paid?","answer":"Zock Robert A & Co is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Zock Robert A & Co?","answer":"Zock Robert A & Co’s main office is at 98 Birch Hill Road, Sutton, NH 03278. Its phone number is 603-456-3106.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}