HOLBROOK HOLDINGS, INC.
Adviser information for HOLBROOK HOLDINGS, INC. last updated from Form ADV on February 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $1.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-107682 |
|---|---|
| SEC ERA File Number | 801-107682 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283258 |
| Legal Entity Identifier | None |
Principal Office
3225 CUMBERLAND BLVD100
ATLANTA
GA
United States
Monday - Friday, 6:00 A.M.-3:00 P.M.
Tel: 678-400-3980, Fax: None
Chief Compliance Officer
MICHAEL BURNS
CHIEF OPERATIONS OFFICER
2175 NW RALEIGH ST. STE
PORTLAND
OR
United States
Tel:
(503) 915-3210
M***@*******************M
(Full email address available in API data)
Regulatory Contact
SCOTT CARMACK
PRESIDENT/CEO/PORTFOLIO MANAGER
3225 CUMBERLAND BLVD
100
ATLANTA
GA
United States
Tel:
917-703-0029
S****@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARMACK, SCOTT, MCDOUGALL | Individual | – | PRESIDENT/CEO/PORTFOLIO MANAGER | 01/2016 | 50-75% |
| BURNS, MICHAEL, GEORGE | Individual | – | CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER | 03/2016 | 25-50% |
| ZECK, BRIAN, LEE | Individual | – | PRESIDENT OF SALES | 06/2019 | 10-25% |
| BURNS, STEVEN, HENRY | Individual | – | MINORITY OWNER | 06/2019 | 5-10% |
| BAKER, HESSEL, CALVIN | Individual | – | MINORITY OWNER | 06/2019 | 5-10% |