BROOKER WEALTH MANAGEMENT
JOHN W. BROOKER & CO., CPAS, PC Legal Name
Adviser information for BROOKER WEALTH MANAGEMENT last updated from Form ADV on March 12th, 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 | California, United States |
Employees
Total Number of Employees | 4 |
---|---|
Investment Advisory/Research | 3 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 3 |
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 | 570 | $562.8M |
Non-Discretionary | 0 | $0 |
Total | 570 | $562.8M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 79 | $32.2M |
HNW Individuals | 130 | $411.2M |
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 | 48 | $107.7M |
Charitable organizations | 3 | $11.9M |
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 | 101-250 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
---|---|
Compensation | % of AUMHourly charges |
Other Business Activities | Accountant or accounting firm |
Principal Office
7677 OAKPORT STREETSUITE 300
OAKLAND
CA
United States
Monday - Friday, 7:00 - 4:00
Tel: 510-638-1815, Fax: 510-746-5919
Chief Compliance Officer
JOSEPH A. WELLS
PRINCIPAL, INVESTMENT STRATEGIST
7677 OAKPORT STREET, SUITE 300
OAKLAND
CA
United States
Tel:
510-638-1815
Fax:
510-746-5919
J*****@**************M
(Full email address available in API data)
Regulatory Contact
DANIEL K. BEATTY
TREASURER/INVESTMENT STRATEGIST
7677 OAKPORT STREET, SUITE 300
OAKLAND
CA
United States
Tel:
510-638-1815
Fax:
510-635-6165
D******@**************M
(Full email address available in API data)
Industry Affiliates
PROFESSIONAL BENEFIT PLANS, INC. | Pension consultant |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|
None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
JAKUBOWITZ, LARRY, M. | Individual | – | PRESIDENT | 05/1990 | 50-75% |
WELLS, JOSEPH, ALBERT | Individual | – | PRINCIPAL, CHIEF COMPLIANCE OFFICER AND INVESTMENT STRATEGIST | 07/2015 | 25-50% |
WELLS, ROBERT, JOHN | Individual | – | PRINCIPAL AND INVESTMENT STRATEGIST | 01/2020 | 10-25% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 11th, 2024 for period ending June 30th, 2024
Name | Class | Value $USD | # Shares | Private Fund |
---|---|---|---|---|
APPLE INC | COM | 3M | 16K | 0 |
AT&T INC | COM | 233K | 12K | 0 |
BLACKROCK ETF TRUST | US EQT FACTOR | 5M | 106K | 0 |
DAVITA INC | COM | 453K | 3K | 0 |
DIMENSIONAL ETF TRUST | US CORE EQUITY 2 | 203K | 6K | 0 |
FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 16M | 347K | 0 |
FLEXSHARES TR | QUALT DIVD IDX | 1M | 22K | 0 |
GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 2M | 73K | 0 |
GOLDMAN SACHS ETF TR | ACCES TREASURY | 2M | 18K | 0 |
INNOVATOR ETFS TRUST | US EQT PWR BUF | 1M | 38K | 0 |
INNOVATOR ETFS TRUST | US EQTY PWR BF | 2M | 51K | 0 |
INNOVATOR ETFS TRUST | US EQTY PWR BUF | 276K | 8K | 0 |
INNOVATOR ETFS TRUST | US EQTY PWR BUF | 223K | 6K | 0 |
INNOVATOR ETFS TRUST | US EQTY BUFR FEB | 260K | 6K | 0 |
INNOVATOR ETFS TRUST | US EQTY BUFR MAY | 336K | 9K | 0 |
INNOVATOR ETFS TRUST | QUITY MANAGD FLR | 1M | 40K | 0 |
INNOVATOR ETFS TRUST | EQUITY DEF PROTN | 487K | 18K | 0 |
INNOVATOR ETFS TRUST | EQUITY DEFI 2026 | 206K | 8K | 0 |
INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 3M | 39K | 0 |
INVESCO EXCH TRD SLF IDX FD | RUSL 1000 DYNM | 4M | 84K | 0 |
INVESCO QQQ TR | UNIT SER 1 | 319K | 665 | 0 |
ISHARES INC | MSCI EQUAL WEITE | 2M | 19K | 0 |
ISHARES INC | MSCI GBL MIN VOL | 3M | 27K | 0 |
ISHARES TR | MSCI USA MMENTM | 696K | 4K | 0 |
ISHARES TR | MSCI USA QLT FCT | 2M | 10K | 0 |
ISHARES TR | CORE DIV GRWTH | 2M | 29K | 0 |
ISHARES TR | CORE MSCI PAC | 756K | 12K | 0 |
ISHARES TR | MSCI USA MIN VOL | 3M | 36K | 0 |
ISHARES TR | GRWT ALLOCAT ETF | 2M | 34K | 0 |
ISHARES TR | MSCI ACWI ETF | 2M | 17K | 0 |
ISHARES TR | CORE S&P MCP ETF | 1M | 24K | 0 |
ISHARES TR | CORE S&P SCP ETF | 12M | 112K | 0 |
ISHARES TR | CORE S&P500 ETF | 423K | 773 | 0 |
ISHARES TR | RUS 1000 ETF | 2M | 8K | 0 |
ISHARES TR | CORE US AGGBD ET | 1M | 11K | 0 |
ISHARES TR | MSCI EAFE ETF | 519K | 7K | 0 |
J P MORGAN EXCHANGE TRADED F | INCOME ETF | 1M | 23K | 0 |
J P MORGAN EXCHANGE TRADED F | ACTIVE GROWTH | 6M | 83K | 0 |
J P MORGAN EXCHANGE TRADED F | ULTRA SHT MUNCPL | 1M | 28K | 0 |
J P MORGAN EXCHANGE TRADED F | CORE PLUS BD ETF | 8M | 180K | 0 |
J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 12M | 236K | 0 |
J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 362K | 6K | 0 |
J P MORGAN EXCHANGE TRADED F | HEDGED EQUITY LA | 763K | 13K | 0 |
JOHNSON & JOHNSON | COM | 297K | 2K | 0 |
PIMCO ETF TR | ENHAN SHRT MA AC | 1M | 10K | 0 |
PIMCO ETF TR | ACTIVE BD ETF | 16M | 176K | 0 |
PIMCO ETF TR | MULTISECTOR BD | 7M | 257K | 0 |
PROCTER AND GAMBLE CO | COM | 7M | 43K | 0 |
SCHWAB STRATEGIC TR | US BRD MKT ETF | 3M | 47K | 0 |
SCHWAB STRATEGIC TR | US LRG CAP ETF | 3M | 44K | 0 |
SCHWAB STRATEGIC TR | US SML CAP ETF | 576K | 12K | 0 |
SCHWAB STRATEGIC TR | US LCAP GR ETF | 7M | 71K | 0 |
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 8M | 98K | 0 |
SCHWAB STRATEGIC TR | US MID-CAP ETF | 6M | 82K | 0 |
SERVICENOW INC | COM | 239K | 304 | 0 |
SPDR DOW JONES INDL AVERAGE | UT SER 1 | 265K | 677 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 5M | 10K | 0 |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 392K | 732 | 0 |
SPDR SER TR | PRTFLO S&P500 GW | 1M | 14K | 0 |
SPDR SER TR | S&P DIVID ETF | 364K | 3K | 0 |
SPDR SER TR | S&P 400 MDCP GRW | 569K | 7K | 0 |
SPDR SER TR | MSCI USA STRTGIC | 2M | 11K | 0 |
SSGA ACTIVE ETF TR | SPDR TR TACTIC | 6M | 146K | 0 |
T ROWE PRICE ETF INC | PRICE DIV GRWT | 563K | 15K | 0 |
TESLA INC | COM | 589K | 3K | 0 |
VANECK ETF TRUST | MRNGSTR WDE MOAT | 3M | 30K | 0 |
VANGUARD INDEX FDS | MID CAP ETF | 4M | 16K | 0 |
VANGUARD INDEX FDS | SMALL CP ETF | 892K | 4K | 0 |
VANGUARD INDEX FDS | GROWTH ETF | 445K | 1K | 0 |
VANGUARD INDEX FDS | TOTAL STK MKT | 5M | 19K | 0 |
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 1M | 10K | 0 |
VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 776K | 4K | 0 |
WELLS FARGO CO NEW | COM | 420K | 7K | 0 |
WISDOMTREE TR | US MIDCAP DIVID | 997K | 21K | 0 |
WISDOMTREE TR | US SMALLCAP DIVD | 234K | 7K | 0 |