ONE HOPPER ASSET MANAGEMENT
BROOKS, WAYNE I Legal Name
Adviser information for ONE HOPPER ASSET MANAGEMENT last updated from Form ADV on March 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 | Sole Proprietorship |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 94 | $40.9M |
| Non-Discretionary | 0 | $0 |
| Total | 94 | $40.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 61 | $15.8M |
| HNW Individuals | 8 | $16.9M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $8.2M |
| 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 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-126078 |
|---|---|
| SEC ERA File Number | 801-126078 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168816 |
| Legal Entity Identifier | None |
Principal Office
1 HOPPER STREETUTICA
NY
United States
Monday - Friday, 8:30 A.M. TO 5:00 P.M.
Tel: 315-734-1410, Fax: 315-734-0173
Chief Compliance Officer
WAYNE I. BROOKS
1 HOPPER STREET
UTICA
NY
United States
Tel:
315-734-1410
Fax:
315-734-0173
W****@***************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 |
|---|---|---|---|---|---|
| BROOKS, WAYNE, IRVING | Individual | – | OWNER/ CHIEF COMPLIANCE OFFICER | 08/2013 | > 75% |