Brock Capital Group, LLC

What does Brock Capital Group, LLC do?

Brock Capital Group, LLC is presented as a full-service investment bank organized in 2002 that provides strategic advice and implementation support. Its contact address is listed as 505 Park Avenue, 14th Floor, New York, NY 10022.

Brock states that its group leverages the experience and networks of 45+ managing directors and describes middle-market businesses as a focus of its platform.[1][2][7]

Publicly stated corporate-advisory services include mergers and acquisitions, strategy and corporate turnarounds, organization and succession planning, post-merger integration, divestitures, and carve-outs. Brock’s M&A consulting practice also describes support for M&A strategy, due diligence, transaction execution, integration, divestitures, and carve-outs.

For private-equity and venture-capital clients, Brock describes buy-side and sell-side transaction support, company search, valuation assessment, acquisition-process assistance, due-diligence planning, and sale, divestiture, or recapitalization support. It also describes investment diligence, deal negotiation, structuring, portfolio review, and post-investment advisory services for family offices, trustees, high-net-worth individuals, and foundations.[3][4][5][6]

Owners comparing advisory firms can also review Auxo’s M&A advisor vs. business broker vs. investment bank comparison, advisor-selection guide, and sell-side advisor evaluation framework.

What should a business owner evaluate before hiring Brock Capital Group, LLC?

An owner evaluating Brock should confirm which legal entity would contract with the seller and perform the engagement, the current sector experience of the proposed team, and the intended buyer-access and process approach. Brock’s public materials describe senior-professional service, M&A strategy, transaction execution, valuation assessment, due diligence, divestitures, and carve-outs, while Brock’s corporate-advisory page does not establish a universal client-size threshold or standardized client-selection criteria.

The engagement discussion should also address fees, expenses, tail and termination provisions, the possible role of Brock Securities LLC or another affiliate, and conflicts involving affiliated activities or client relationships. Brock’s official service pages do not publish a universal fee schedule, minimum fee, success-fee percentage, tail period, or termination schedule.[3][4][7][9]

What size transactions and clients does Brock Capital Group, LLC focus on?

Official Brock materials identify experience across energy, technology, mining, life sciences, transportation, consumer goods, and commercial real estate. The public sector descriptions establish these areas of experience but do not, by themselves, identify a current exclusive industry mandate.[1]

Brock’s select-client page identifies advice to Scientific Games on the $1.5 billion acquisition and integration of WMS Industries, described as delivering $100 million in synergies.

Its news archive states that Brock advised on the formation of a joint venture between Eletson Holdings and Blackstone Tactical Opportunities to create Eletson Gas, described as a $700 million liquefied petroleum gas shipping company. The select-client page also describes advice to a privately held shipping company on acquiring handymax dry-bulk vessels through a transaction in which up to $250 million would be deployed for the acquisitions.

Other listed engagements include a Qatar high-rise residential disposition of approximately $125 million and a $7.5 million pre-clinical capital raise for a hepatitis B and hepatitis C drug company.[8][9]

Brock publicly describes M&A strategy, buy-side and sell-side support, transaction execution, due diligence, valuation assessment, divestitures, carve-outs, and recapitalization support. Its stated services also include capital raising and related banking activities through Brock Securities LLC.[4][5][9]

What does Brock Capital Group, LLC publicly disclose about fees, process and engagement terms?

Brock’s corporate-advisory page does not state a universal minimum revenue, EBITDA, enterprise-value, or transaction-size threshold for clients or engagements. Brock’s M&A consulting page states that its professionals have led or advised on over 100 transactions but does not provide a complete transaction-by-transaction list, universal transaction-size range, or standardized client-selection criteria.

Brock’s select-client page identifies representative engagements but does not disclose complete transaction dates, buyer identities, consideration terms, or other detailed deal terms for every listed engagement. Brock’s official service pages do not publish a universal advisory-fee schedule, minimum fee, success-fee percentage, tail period, or termination schedule.[3][4][8]

Brock’s official news page states that Brock Securities LLC conducts the capital-raising and associated banking activities of the Brock platform and describes Brock Securities as a registered broker-dealer and FINRA member.

A 2025 SEC-filed exemption report states that Brock Securities LLC limited its business activities exclusively to receiving transaction-based compensation for identifying potential M&A opportunities for clients and rendering fairness opinions. The report also states that it did not directly or indirectly receive, hold, or owe customer funds or securities except as permitted by the cited exemption framework. These regulatory and operating facts concern Brock Securities LLC and do not establish a firm-wide registration conclusion for Brock Capital Group, LLC.[9][10]

Brock states that clients are served personally by senior professionals and that, after an initial consultation, it may recommend another firm if it believes another firm is better suited to the client’s needs.[7]

Questions to ask before hiring Brock Capital Group, LLC

Related Auxo guidance

Use these resources to evaluate role, structure, economics and process rather than relying on a directory profile alone.