Profile
Mr. Ronald R.
Brock is a Managing Director & Chief Financial Officer at Sheaff Brock Investment Advisors LLC and a Managing Director & Chief Financial Officer at Innovative Portfolios LLC.
As a founding principal of Sheaff Brock Investment Advisors LLC, Mr. Brock handles all aspects of the company’s finance and business operations.
In addition to overseeing financial management as chief financial officer, he coordinates the firm’s operations, compliance, marketing efforts, and staffing.
He has over 40 years of experience in the financial services industry.
Mr. Brock is also a CFO of investment firms SBAuer Funds LLC, and Salzinger Sheaff Brock.
Mr. Brock previously worked at Prudential Bache Securities and later with Morgan Stanley/Dean Witter before Co-Founding Sheaff Brock in 2001.
He graduated from the Kelley School of Business at Indiana University, where he earned a Bachelor of Science degree in Accounting.
Ron Brock active positions
| Companies | Position | Start |
|---|---|---|
Sheaff Brock Investment Advisors LLC
 Sheaff Brock Investment Advisors LLC Investment ManagersFinance Sheaff Brock Investment Advisors LLC (Sheaff Brock) is a registered investment advisor headquartered in Indianapolis, Indiana. The firm was founded by Dave Gilreath and Ron Brock in 2001 and is a subsidiary of Sheaff Brock Capital Management LLC. Sheaff Brock provides portfolio management services for high net worth individuals. | Founder | 01/01/2001 |
Innovative Portfolios LLC
 Innovative Portfolios LLC Investment ManagersFinance Innovative Portfolios LLC is a registered investment adviser headquartered in Indianapolis, Indiana. The firm was founded by David Gilreath and Ronald Brock and is owned by Sheaff Brock Capital Management LLC. Innovative Portfolios offers investment advisory services to registered investment companies (including mutual funds) and Sub-advisor Services to registered investment advisors. | Founder | - |
Former positions of Ron Brock
| Companies | Position | End |
|---|---|---|
| Prudential Bache Securities, Inc. | Corporate Officer/Principal | - |
| Morgan Stanley Dean Witter | Corporate Officer/Principal | - |
SBAuer Funds LLC
 SBAuer Funds LLC Investment ManagersFinance SBAuer Funds LLC (SBAuer) is an independent registered investment advisor headquartered in Indianapolis, Indiana. The firm was founded by Robert Auer and Bryan Auer in 2007. SBAuer serves as the investment manager to the Auer Growth Fund, a registered mutual fund. | Director of Finance/CFO | - |
Training of Ron Brock
| Indiana University | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 5 |
|---|---|
| Morgan Stanley Dean Witter | Finance |
| Prudential Bache Securities, Inc. | Finance |
SBAuer Funds LLC
SBAuer Funds LLC Investment ManagersFinance SBAuer Funds LLC (SBAuer) is an independent registered investment advisor headquartered in Indianapolis, Indiana. The firm was founded by Robert Auer and Bryan Auer in 2007. SBAuer serves as the investment manager to the Auer Growth Fund, a registered mutual fund. | Finance |
Sheaff Brock Investment Advisors LLC
Sheaff Brock Investment Advisors LLC Investment ManagersFinance Sheaff Brock Investment Advisors LLC (Sheaff Brock) is a registered investment advisor headquartered in Indianapolis, Indiana. The firm was founded by Dave Gilreath and Ron Brock in 2001 and is a subsidiary of Sheaff Brock Capital Management LLC. Sheaff Brock provides portfolio management services for high net worth individuals. | Finance |
Innovative Portfolios LLC
Innovative Portfolios LLC Investment ManagersFinance Innovative Portfolios LLC is a registered investment adviser headquartered in Indianapolis, Indiana. The firm was founded by David Gilreath and Ronald Brock and is owned by Sheaff Brock Capital Management LLC. Innovative Portfolios offers investment advisory services to registered investment companies (including mutual funds) and Sub-advisor Services to registered investment advisors. | Finance |
- Stock Market
- Insiders
- Ron Brock
