SPIELBERGER & BROOKS, INC.
Adviser information for SPIELBERGER & BROOKS, INC. last updated from Form ADV on February 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 235 | $323.0M |
| Non-Discretionary | 4 | $7.7M |
| Total | 239 | $330.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 86 | $9.4M |
| HNW Individuals | 149 | $313.6M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 4 | $7.7M |
| 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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 235 |
| 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 businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-69153 |
|---|---|
| SEC ERA File Number | 801-69153 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 147197 |
| Legal Entity Identifier | None |
Principal Office
7600 JERICHO TURNPIKESUITE 305
WOODBURY
NY
United States
Monday - Friday, 9-5
Tel: 516-433-3100, Fax: 516-960-3100
Websites
Chief Compliance Officer
CRAIG BROOKS
MANAGING DIRECTOR
7600 JERICHO TURNPIKE
SUITE 305
WOODBURY
NY
United States
Tel:
516-605-2222
Fax:
516-960-3100
C****@********************M
(Full email address available in API data)
Regulatory Contact
MARK SPIELBERGER
CEO & PRESIDENT
7600 JERICHO TURNPIKE
SUITE 305
WOODBURY
NY
United States
Tel:
516-433-3100
Fax:
516-960-3100
M***@**********************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 |
|---|---|---|---|---|---|
| SPIELBERGER, MARK, HENRY | Individual | – | CEO & PRESIDENT | 04/2008 | 50-75% |
| BROOKS, CRAIG, DAVID | Individual | – | MANAGING DIRECTOR & CCO | 01/2012 | 25-50% |