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| Message |
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| Happy Holidays!! thanks for using AUM13F!! |
| Brooks Wayne I
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|---|---|
| CRD # | 168816 |
| SEC # | 801-126078 |
| CIK # | |
| AUM | $51.7 M (2025-03-03) |
| Employees | 3 (67% Investors, 67% Brokers) |
| Phone | 315-734-1410 |
| Address | 1 Hopper Street Utica, NY 13501 |
| Source | [IAPD] |
| Total AUM ($M) |
|---|
| AUM Breakdown | Accounts | AUM ($M) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 61 | 19.0 |
| (b) Individuals (high net worth individuals) | 12 | 24.8 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 0 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 1 | 7.9 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 113 | 51.7 |
| By Discretionary | ||
| Discretionary | 113 | 51.7 |
| Non-Discretionary | 0 | 0.0 |
| Total | 113 | 51.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 51.7 | |
| Total | 113 | 51.7 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Sloan Advisory Group Inc
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|
NY | 0.1 |
|
Willink Asset Management LLC
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|
NY | 0.1 |
|
Savicki Capital LLC
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|
NY | 0.1 |
|
Lowell Road Asset Management Inc
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|
NY | 0.0 |
|
Springtide Partners LLC
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|
IL | 0.0 |
|
Hodge Financial Services LLC
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|
NH | 0.0 |
|
Stash Wealth LLC
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|
NY | 0.0 |
|
Best Life Infinity LLC
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|
CO | 0.0 |
|
Savvi Financial LLC
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|
MA | 0.0 |
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Focus Planning Group LLC
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0.0 |