Jeffrey V. Hockenbrock

ASCENSUS INVESTMENT ADVISORS

Berkeley, CA

Some features on this profile are disabled

CRD#: 4480398

Professional summary

Jeffrey Vincent Hockenbrock is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Berkeley, California.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Jeffrey has worked at 5 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

In addition to association with the member firm, the individual is employed with the firm's parent company, Newport Group Inc., an Ascensus company, and is an affiliate of the member firm. As part of the individuals job responsibilities, the individual may also offer insurance products through the firm or its affiliates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Vincent Hockenbrock's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 31, 2023 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Berkeley, CA

Past

July 7, 2014 - June 8, 2023

NEWPORT GROUP CONSULTING, LLC

RIA

CRD#: 140944

Berkeley, CA

Past

March 28, 2007 - December 31, 2012

ADVISORY CONSULTING GROUP LLC

RIA

CRD#: 142666

WALNUT CREEK, CA

Past

July 23, 2003 - August 23, 2005

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

February 11, 2002 - February 21, 2002

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(5/31/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/5/2002

General Securities Representative Examination

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey V. Hockenbrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Vincent Hockenbrock's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS INVESTMENT ADVISORS, LLC

NEWPORT GROUP CONSULTING, LLC

ADVISORY CONSULTING GROUP LLC

CINCINNATI ANALYSTS, INC.

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2007

Series 7

Date: 2/5/2002

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors