BROOKWOOD INVESTMENT GROUP
BROOKWOOD INVESTMENT GROUP LLC Legal Name
Adviser information for BROOKWOOD INVESTMENT GROUP last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 17 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 17 |
| Licensed Agents of an Insurance Company | 17 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,250 | $689.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2,250 | $689.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,012 | $228.0M |
| HNW Individuals | 98 | $203.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 1 | $1.8M |
| Charitable organizations | 1 | $53,127 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 1 | $249.6M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 12 | $6.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-122508 |
|---|---|
| SEC ERA File Number | 801-122508 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 316544 |
| Legal Entity Identifier | None |
Principal Office
3930 E. RAY ROADSUITE 155
PHOENIX
AZ
United States
Monday - Friday, 8AM TO 5PM
Tel: 480-744-9628, Fax: None
Chief Compliance Officer
KIMBERLEY RAIMONDO, ESQ
CHIEF COMPLIANCE OFFICER
3930 E. RAY ROAD
SUITE 155
PHOENIX
AZ
United States
Tel:
480-646-3504
K***********@***************************M
(Full email address available in API data)
Industry Affiliates
| BROOKWOOD INSURANCE GROUP | Insurance company or agency |
| REDWOOD PRIVATE WEALTH | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RAIMONDO, ROBERT, WILLIAM | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2021 | 50-75% |
| RAIMONDO, KIMBERLEY, ANN | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | 50-75% |