Brooktree Capital Management Inc.

Brooktree Capital Management provides discretionary investment management to individuals, trusts, pensions, estates, charitable organizations, and business entities, overseeing roughly $138.9 million in client assets. The firm’s client list also includes a family-owned limited liability company that pools family members’ assets; the brochure notes that the Family LLC is a client and may hold speculative, non-marketable securities.

The firm employs both fundamental and technical analysis and implements a range of strategies — including long-term and short-term positions, trading, covered call writing, purchased puts, and, in some cases, margin or short sales — with portfolio decisions tailored to clients’ income, tax, and time-horizon considerations. Accounts are managed on a discretionary basis, custody is typically provided through Charles Schwab, and Brooktree uses a third-party performance and reporting service to value accounts and generate client reports.

Distinctive aspects highlighted in the brochure include the firm’s co-ownership and co-management by two principals with a noted ownership transition in 2020, formal trade aggregation and allocation policies that explicitly include the family pooled entity, and regular monthly account reviews. The firm also discloses that it generally does not provide advisory services for the Family LLC’s speculative non-marketable investments while nonetheless aggregating transactions and producing third-party performance reports for clients.