Westbrook Investment Advisory, LLC

Westbrook Investment Advisory provides discretionary investment management, qualified retirement plan (pension/401(k)) consulting, and financial consulting to a range of clients including plan sponsors, benefit plans, trusts, estates, charities, corporations and individual investors. The firm implements client strategies largely by selecting and overseeing third‑party advisors and private fund managers and by placing assets into custodian-managed investment strategies.

The firm’s approach blends macroeconomic, fundamental, quantitative, qualitative and technical analysis to construct diversified portfolios aligned with each client’s risk tolerance and time horizon, using custodian‑developed asset allocation methodologies and ongoing monitoring. As is common among investment managers, Westbrook’s advisory services are billed as a percentage of assets under management and the firm exercises discretionary trading authority for implemented strategies.

This filing is the firm’s initial registration and it reported no assets under management at the time of filing, reflecting a small, newly established operation. Noteworthy and less common for peers in this category, the firm’s investment adviser representatives also act as registered representatives of a broker‑dealer and as licensed insurance agents, the brochure discloses affiliations with a broker‑dealer and insurance companies, and the firm emphasizes pension/401(k) consulting and the formal selection of other advisers—arrangements the firm discloses can create conflicts of interest.