Brook Capital
Firm details
- Headquarters
- Brookfield, Wisconsin
- CRD number
- 130919
- Registered since
- January 3, 2007
- Website
- brookcapital.com
- Custodians
- 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, individual-owned registered investment adviser that has been SEC-registered since 2007. The firm serves both individual/family and institutional clients and combines portfolio management and financial planning with insurance-brokerage capabilities. Fee arrangements are flexible and include percentage-of-AUM billing alongside hourly and fixed-fee engagements. Brook Capital also runs educational seminars and workshops and focuses on managing portfolios for individuals and small businesses rather than acting as a capital allocator or pension consultant. The firm does not position itself as an active ESG investor.
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 Funds54%
- Exchange Traded Equities32%
- Cash & Cash Equivalents12%
- Sovereign Bonds2%
Owners & executives
1 of 1
Letha Joseph
Vice President, Chief Compliance OfficerCRD 4814081
Contacts
3 of 4
Jason 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 41Active vs passive
$133M in ETFs
98%
$130M
2%
$2.3M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $20.9M | 27,430 | 15.77% |
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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