J. Brooks & Company, LLC

The firm is a single-advisor independent registered investment adviser that serves individuals (including high-net-worth), investment groups and family offices, offering discretionary portfolio management and financial planning. Its advisory services include creating Investment Policy Statements and managing portfolios across mutual funds, equities, bonds, ETFs, REITs and insurance products, including annuities and private placements.

The adviser documents client risk tolerance using six financial life stages (survival, maintenance, growth, preservation, distribution, legacy) and four assessment categories (risk, taxation, time horizon, liquidity), and seeks written discretionary authority to implement client strategies. Investment decisions combine fundamental and technical analysis and include both long-term investing and short-term trading, with account reviews conducted at least monthly by the firm’s sole managing member.

Distinctive features noted in the brochure include an affiliation with insurance activities: the firm’s principal is a licensed insurance agent who may offer commissionable insurance products, a relationship the brochure discloses as a potential conflict of interest. The firm also reports serving investment groups and family offices and manages all client assets internally rather than selecting outside managers, an institutional client mix and self-contained operating model that is less common among solo independent advisers.