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GREENROCK RESEARCH, INC.
CRD 131825File 801-69664
APPROVED
Retail clients
Filing as of Mar 27, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$863.9M
Above cohort median (national)
Discretionary AUM
$515.9M
Non-discretionary $348.0M
Clients
25
1,880 accounts
Employees
6
Above cohort median in IL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Oct 21, 2008
- Principal office
- 444 W. LAKE ST., SUITE 1700, CHICAGO, IL, 60606
- Phone
- 312.463.1301
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $863.9M
- Discretionary AUM
- $515.9M
- Non-discretionary AUM
- $348.0M
- Discretionary accounts
- 1,050
- Non-discretionary accounts
- 830
- Total accounts
- 1,880
- AUM per client
- $34.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other investment advisers | 21 | $842.4M |
| Individuals (other than high net worth individuals) | 4 | $21.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Publications
- Other advisory activities
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 30 | 25 | decreased by5 |
| Apr 1, 2026 | AUM | $850,158,703 | $863,850,837 | increased by$13,692,134 |
| Apr 1, 2026 | Accounts | 1,990 | 1,880 | decreased by110 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 6 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 28 | 30 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,065,508,010 | $850,158,703 | decreased by$215,349,307 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,675 | 1,990 | decreased by685 |
| Apr 1, 2022 | Clients | 29 | 28 | decreased by1 |
| Apr 1, 2022 | AUM | $852,101,996 | $1,065,508,010 | increased by$213,406,014 |
| Apr 1, 2022 | Accounts | 2,269 | 2,675 | increased by406 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GREENROCK RESEARCH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GREENROCK RESEARCH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.