J
J. Brooks & Company, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$8,548,450
Total clients
12
25% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
12
Average account size
$712,371
About
J. Brooks & Company, LLC provides ongoing portfolio management and financial planning to individuals, high‑net‑worth clients, investment groups, and family offices. Services cover asset allocation, security selection and regular portfolio monitoring, together with financial planning areas such as retirement, tax, college planning, life insurance, and debt management.
The firm documents client goals and risk tolerance in a written Investment Policy Statement and typically accepts discretionary authority to implement portfolios that reflect those parameters. Its investment process uses both fundamental and technical analysis and combines long‑term investing with short‑term trading when appropriate, while financial plans are tailored to clients’ life stages and liquidity, tax, and time‑horizon needs.
The brochure discloses that the firm’s principal is a licensed insurance agent and may offer commissionable insurance products, a relationship the firm identifies as a potential conflict of interest and for which clients are not required to purchase through the adviser. The firm also notes it serves investment groups and family offices (client types less common for small independent advisers), uses a range of instruments including annuities and private placements, employs block trading, does not participate in wrap‑fee programs, and directs clients to its recommended custodian for execution.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Real estate investing
Cash flow / budgeting
Debt management
Fee options
Account minimum: $100,000 Fee-only: Comprehensive Financial Plan: 0.5% of net worth; Base Financial Plan: 0.125% of net worth; Minimum financial plan fee $1,000 plus $250 annual renewal fee
Main office location
J. Brooks & Company, LLC
Greensboro NC, United States
Number of offices
1
Most active in
J. Brooks & Company, LLC has reported serving >5 clients in these states in the last 12 months.
North Carolina
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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