Brooks Wealth Management
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$10,500,000
Clients
23
30% 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
23
TypicalAverage account size
$456,522
About
Brooks Wealth Management manages roughly $10.5 million for a small roster of clients that include individuals, high-net-worth individuals, charitable organizations, and businesses. The firm is a fee-only registered investment adviser offering discretionary wealth management and project-based financial planning, with financial planning included for clients who engage in wealth management.
The firm builds customized investment models and asset allocations for each client, drawing on Modern Portfolio Theory and a mix of passive and active strategies, and employs fundamental, technical, and cyclical analysis as appropriate. Brooks typically invests in stocks, bonds, mutual funds, and ETFs, can incorporate socially responsible (ESG) approaches at client request, and may recommend alternative investments while noting it does not have discretionary authority to place client funds into such alternatives.
Operationally, the firm requires clients to establish custody at Charles Schwab and uses Schwab Advisor Services and its institutional platform support, and it delivers quarterly performance and holdings reports through a secure RightCapital portal — a regular reporting cadence the brochure highlights. The firm also discloses it has no affiliations with other investment advisers or outside financial industry parties and offers fee flexibility, including a blended tiered AUM schedule and the option for fixed or flat advisory fees in certain engagements.
Client services
Financial planning
Portfolio management
Newsletters or periodicals
Expertise
College savings (529s, UTMA, etc.)
Cash flow / budgeting
Social Security optimization
Occupation focus
Founder/Business Owner
Demographic focus
Young Professionals
Fee options
Fixed or flat advisory fees for wealth management services (generally not to exceed $20,000 annually) and fixed fees for project-based financial planning services ($199 to $20,000).
$0 - $1,000,000: 1.00% $1,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.50% $10,000,001+: 0.25%
$250 per hour for financial planning services.
Fee-only: Financial planning fees: fixed fees generally range from $199 to $20,000; hourly rate $250 per hour.
Main office location
Brooks Wealth Management
2555 Townsgate Rd, Suite 200
Westlake Village CA 91361, United States
Number of offices
2
Most active in
Brooks Wealth Management has reported serving >5 clients in these states in the last 12 months.
California · Colorado
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 not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
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.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
LinkedIn
Facebook
Instagram
YouTube
Website
(303) 962-2728
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