Brooks Financial of North Carolina, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$5,311,628
This total excludes 22 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
37
3% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
37
HighAverage account size
$143,558
About
Brooks Financial of North Carolina provides financial planning and non-discretionary portfolio management primarily for individual and high-net-worth clients, and also offers retirement-plan services such as profit-sharing and 401(k)/403(b) planning. The firm’s service menu includes insurance planning, retirement rollovers and education for plan participants, and tax preparation as separate offerings.
Accounts are managed on a non-discretionary basis, with the firm confirming trades with clients prior to execution and conducting ongoing supervision and at least annual reviews; investment recommendations draw on both fundamental and technical analysis across stocks, bonds, mutual funds, ETFs and other instruments. The firm discloses a fiduciary duty for retirement-account advice and provides tailored asset-allocation strategies based on each client’s goals and risk tolerance.
Noteworthy features relative to peers include that the firm’s investment advisor representatives are also licensed insurance agents and offer insurance products through affiliated agencies (including Alpha Risk Management), receiving customary insurance commissions separate from advisory fees. The firm reports that it does not exercise investment discretion (ADV shows $0 discretionary and $6,505,073 non‑discretionary AUM) and discloses use of artificial intelligence tools for real‑time note-taking and project research under human supervision.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
College savings (529s, UTMA, etc.)
Fee options
Fixed fees for financial planning ranging from $500 to $3,000
$0 - $250,000: 1.0% $250,000 - $500,000: 0.90% $500,000 - $750,000: 0.75% $750,000 - $1,500,000: 0.60% $1,500,000 - $3,500,000: 0.50% $3,500,000+: Negotiable
$125 per hour for financial planning
Fee-only: Financial planning fees: $125 per hour or fixed fees from $500 to $3,000
Main office location
Brooks Financial of North Carolina, LLC
1822 E Nc Hwy 54, Suite 350 C
Durham NC 27713, United States
Number of offices
1
Most active in
Brooks Financial of North Carolina, 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:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
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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