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 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 investors. Core advisory offerings include financial planning, portfolio management for individuals and small businesses, and educational seminars and workshops. Brook Capital also operates as an insurance broker and charges clients via a mix of percentage-of-AUM, hourly, and fixed fees. The firm does not report being an active ESG investor, is not a multistate adviser, and does not act as a pension consultant or capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
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 40Active vs passive
$119M in ETFs
96%
$115M
2%
$4.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $21.9M | 29,347 | 18.39% |
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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