B
Brooks Investment Advisory Service
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$20,600,000
Total clients
11
0% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
11
Average account size
$1,872,727
About
The firm provides continuous investment management and portfolio management services to individuals, banks or thrift institutions, and trusts or estates, managing approximately $20.6 million in discretionary assets across 11 client accounts. Services cover selection and monitoring of listed equities, corporate and municipal debt, certificates of deposit, mutual funds and U.S. government securities.
Investment decisions are made on a discretionary basis using both fundamental and technical analysis within a buy-and-hold approach that typically results in low portfolio turnover (securities held at least one year). The firm charges fees based on a percentage of assets under management and will accept written client restrictions on certain securities or types of investments.
Noteworthy features include exclusive custody and trade execution through Altruist Financial, selected for platform and service attributes rather than lowest transaction cost, and a practice of preparing portfolio summaries and allocation charts at client-determined frequencies. The firm reports no disciplinary history and discloses that when the adviser trades the same securities personally, client orders are placed before the adviser’s trades to mitigate conflicts.
Client services
Portfolio management
Expertise
Wealth management
Fee options
$0 - $500,000: 1% per year Above $500,000+: 0.9% per year
Account minimum: $100,000 Minimum fee: $1,000 annual minimum for accounts $100,000 or less Fee-only: 1% per year on assets $0-$500,000; 0.9% per year on assets above $500,000; $1,000 minimum annual fee for accounts $100,000 or less
Most active in
Brooks Investment Advisory Service has reported serving >5 clients in these states in the last 12 months.
Indiana
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 not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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