GARTH & BROWN INVESTMENT MANAGEMENT, LLC

Overview

Garth & Brown Investment Management, LLC is a small, domestic limited liability company that serves as an active capital allocator for its clients. The firm’s registered advisory activities center on portfolio management for individuals and small businesses, pension consulting, and the selection of outside advisers. Its fee model is percentage-of-AUM based, and it maintains a broker-dealer affiliation that expands its access to retail investment products. Garth & Brown shows a clear preference for using pooled, publicly traded investment vehicles — primarily mutual funds — as the main implementation vehicle for client portfolios rather than direct-stock or heavy ETF exposure. The firm does not report an ESG investment approach. Garth & Brown operates with a mix of discretionary and non-discretionary relationships, though the bulk of assets reported are managed on a non-discretionary basis. The firm also uses annuities as a supplementary investment instrument for clients where appropriate. As part of its service set, the firm provides pension consulting and can select external managers, indicating it operates both as an allocator and as an adviser that brings third-party expertise into client portfolios.

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