BIRCHBROOK
Adviser information for BIRCHBROOK last updated from Form ADV on March 29th, 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 | Maine, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 737 | $240.5M |
| Non-Discretionary | 30 | $4.7M |
| Total | 767 | $245.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 200 | $64.7M |
| HNW Individuals | 76 | $169.7M |
| 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 | <5 | $3.8M |
| Charitable organizations | 8 | $7.0M |
| 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 | 3 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-36582 |
|---|---|
| SEC ERA File Number | 801-36582 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105164 |
| Legal Entity Identifier | None |
Principal Office
82 COLUMBIA STBANGOR
ME
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 207-990-1117, Fax: 207-990-1551
Chief Compliance Officer
JENNIFER L. EASTMAN, JD
CHIEF OPERATIONS OFFICER
82 COLUMBIA STREET
BANGOR
ME
United States
Tel:
207-990-1117
Fax:
207-990-1551
J**************@*************M
(Full email address available in API data)
Regulatory Contact
LUCIE ESTABROOK, CTFA
CHIEF EXECUTIVE OFFICER
82 COLUMBIA STREET
BANGOR
ME
United States
Tel:
207-990-1117
Fax:
207-990-1551
L*************@*************M
(Full email address available in API data)
Industry Affiliates
| EASTMAN LAW, LLC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ESTABROOK, LUCIE, ELIZABETH | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2019 | > 75% |
| Eastman, Jennifer, L | Individual | – | CHIEF OPERATIONS OFFICER & CHIEF COMPLIANCE OFFICER | 01/2019 | 25-50% |
| Mussallem, Charles, J | Individual | – | CHIEF INVESTMENT OFFICER | 11/2023 | < 5% |