BROOKLINE INVESTMENTS, INC.
Adviser information for BROOKLINE INVESTMENTS, INC. last updated from Form ADV on March 22nd, 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 | Alabama, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 32 | $326.4M |
| Non-Discretionary | 1 | $5.3M |
| Total | 33 | $331.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 20 | $33.7M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $289.6M |
| Pension and profit sharing plans | <5 | $5.4M |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | 3 | $2.9M |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based feesPRIVATE FUND INCENTIVE FEES |
Identifiers
| SEC RIA File Number | 801-57057 |
|---|---|
| SEC ERA File Number | 801-57057 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109239 |
| Legal Entity Identifier | None |
Principal Office
2830 CAHABA ROADSUITE 100
BIRMINGHAM
AL
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 205-263-2332, Fax: None
Chief Compliance Officer
JAMES RAINER TWIFORD
PRESIDENT AND DIRECTOR
2830 CAHABA ROAD, SUITE 100
BIRMINGHAM
AL
United States
Tel:
205-263-2332
R*******@***********************M
(Full email address available in API data)
Regulatory Contact
SARAH BETH CAIN
CHIEF FINANCIAL OFFICER
2830 CAHABA ROAD, SUITE 100
BIRMINGHAM
AL
United States
Tel:
(205) 263-2332
S*****@***********************M
(Full email address available in API data)
Industry Affiliates
| J. RAINER TWIFORD | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BROOKLINE SPECIAL SITUATIONS FUND, LLC | Private Equity Fund | $8.2M | $0.0M | 24 |
| BROOKLINE SPV, LLC | Private Equity Fund | $27.2M | $0.0M | 94 |
| BROOKLINE VALUE INVESTMENT FUND, LLC | HAS QUARTERLY REDEMPTION RIGHTS | $51.3M | $0.3M | 38 |
| CAMP ONE VENTURES (FUND B), LLC | Venture Capital Fund | $139.4M | $0.1M | 71 |
| CAMP ONE VENTURES (FUND C) | Venture Capital Fund | $4.9M | $0.1M | 37 |
| CAMP ONE VENTURES FUND A, LLC | Venture Capital Fund | $37.8M | $0.1M | 50 |
| CAMP ONE VENTURES FUND D | Venture Capital Fund | $20.8M | $0.5M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TWIFORD, JAMES, RAINER | Individual | – | PRESIDENT, DIRECTOR, CHIEF COMPLIANCE OFFICER | 10/1999 | < 5% |
| BROOKLINE FINANCIAL PARTNERS, INC. | Domestic Entity | – | OWNER | 01/2009 | > 75% |
| TWIFORD, JAMES, RAINER | Individual | BROOKLINE FINANCIAL PARTNERS, INC. | OWNER | 01/2009 | > 75% |
| CAIN, SARAH, ELIZABETH | Individual | – | CHIEF FINANCIAL OFFICER | 06/2015 | < 5% |
| LOFTIN, JAMES, EDWARD ANDREW | Individual | – | MANAGING DIRECTOR | 02/2024 | < 5% |