B
Bob Holbrook Holdings LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$9,996,000
Total clients
68
3% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
68
Average account size
$147,000
About
Bob Holbrook Holdings is a solo-registered investment adviser that primarily serves individual clients and also provides retirement-plan advisory services, managing roughly $10 million across about 68 accounts. The firm offers both discretionary and non-discretionary asset management as well as ERISA plan services for qualified retirement plans.
The firm’s investment approach combines fundamental analysis with hedging techniques and a range of strategies that can include long- and short-term holdings, options trading, and the use of margin where appropriate. Portfolios are tailored to client goals and documented investment policy statements, with periodic reviews to monitor allocation, tax-loss harvesting opportunities, and suitability.
What is atypical for a single-adviser independent firm is the explicit pension consulting work — the firm acts as both a limited-scope ERISA 3(21) fiduciary and, when engaged, as a discretionary ERISA 3(38) investment manager — and its allowance of borrowing within separately managed accounts. The firm is also affiliated with an insurance practice and discloses that representatives receive commissions for insurance sales, a conflict that is described and mitigated in its disclosures.
Client services
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Retirement plans for business owners (SEP, solo 401k)
Fee options
1.65% annually for asset management services
Main office location
Bob Holbrook Holdings LLC
Malta NY, United States
Number of offices
1
Most active in
Bob Holbrook Holdings LLC has reported serving >5 clients in these states in the last 12 months.
New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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