BROOK CAPITAL
RAMIAH INVESTMENT GROUP, INC. Legal Name
Adviser information for BROOK CAPITAL last updated from Form ADV on January 4th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Wisconsin, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 4 |
| 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 | 944 | $123.8M |
| Non-Discretionary | 473 | $86.4M |
| Total | 1,417 | $210.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 572 | $112.3M |
| HNW Individuals | 47 | $92.0M |
| 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 | $996,775 |
| Charitable organizations | 0 | $0 |
| 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 | 5 | $5.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 50 |
| No. of Non-U.S. Clients | 51 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Principal Office
675 N.BARKER ROAD, SUITE #200BROOKFIELD
WI
United States
Monday - Friday, 8:00 AM TO 3:30PM
Tel: 262-784-7205, Fax: 262-784-7206
Websites
Chief Compliance Officer
LETHA JOSEPH
COMPLIANCE OFFICER
675 N. BARKER ROAD, SUITE#200
BROOKFIELD
WI
United States
Tel:
262-784-7205
Fax:
262-784-7206
L******@***************M
(Full email address available in API data)
Regulatory Contact
RAMU RAMIAH
PRESIDENT
675 N. BARKER ROAD, SUITE #200
BROOKFIELD
WI
United States
Tel:
262 7847205
Fax:
262-784-7206
R******@***************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 |
|---|---|---|---|---|---|
| RAMIAH, RAMU | Individual | – | PRESIDENT;SHAREHOLDER(COMMON) | 03/2004 | > 75% |
| JOSEPH, LETHA | Individual | – | CHIEF COMPLIANCE OFFICER;SECRETARY, SHAREHOLDER(COMMON) | 09/2004 | 10-25% |