BROOK CAPITAL
Firm details
- Headquarters
- BROOKFIELD, Wisconsin
- CRD number
- 130919
- Registered since
- January 3, 2007
- Website
- brookcapital.com
- Custodians
- PERSHING LLC, PERSHING LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI58.72%
- Individuals39.92%
- Corporations / Businesses0.89%
- Pension & Profit Sharing Plans0.47%
- Services
- Financial PlanningPortfolio Management for IndividualsEducational Seminars / Workshops
Firm profile
FINTRXOverview
Brook Capital is an independent registered investment adviser that has been SEC-registered since 2007 and is owned by an individual. The firm serves both individual and family clients as well as institutional relationships, and it combines fee models (percentage of AUM) with hourly and fixed-fee engagements. Core advisory services include financial planning, portfolio management for individuals and small businesses, and educational seminars or workshops. Brook Capital also operates as an insurance broker. The firm does not identify as an active ESG investor and is not structured as a capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds51%
- Exchange Traded Equities30%
- Cash & Cash Equivalents17%
- Investment Grade Corp Bonds1%
Owners & executives
1 of 1LETHA JOSEPH
Vice President, Chief Compliance OfficerCRD 4814081
Contacts
3 of 4Jason Visner
Financial AdvisorCRD 5853689
Daena Ramiah
Vice President of Investments, Financial AdvisorCRD 4814072
Ramu Ramiah
PresidentCRD 2284958
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 37Active vs passive
$140M in ETFs
98%
$138M
2%
$2.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) BLOOMBERG 1-3 MONTH T-BILL ETF (BIL) | State Street | Passive | Ultrashort Bond | $22.9M | 249,660 | 16.32% |
Location
BROOKFIELD, WI
WAUKESHA
Location
BROOKFIELD, WI
Headquartered in BROOKFIELD, WI, anchoring the Milwaukee-Racine-Waukesha, WI metro in the Midwest.
- Metro area
- Milwaukee-Racine-Waukesha, WI
- Region
- Midwest
- County
- WAUKESHA
- Address
- 675 Nbarker Rd
- Time zone
- CT (UTC-6)
- Office locations
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