SPIELBERGER & BROOKS, INC.

RIASEC RegisteredEst. 2008

Total AUM

$474M

Discretionary

$457M

97% of AUM

Avg account

$1.9M

Accounts

251

Employees

Advisory reps

Firm details

Headquarters: WOODBURY, New York
CRD number: 147197
Registered since: May 15, 2008
Website: www.spielbergerbrooks.com
Fee structure: Percentage of AUM, Performance Based Fees
Client types: HNWI94.97%
Pension & Profit Sharing Plans3.49%
Individuals1.54%
Services: Financial PlanningPortfolio Management for IndividualsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Spielberger & Brooks, Inc. is an independent, SEC‑registered advisory firm that has operated since 2008. The firm is owned by an individual and positions itself as a capital allocator for both individual/family and institutional clients. Its advisory services include financial planning, discretionary portfolio management for individuals and small businesses, pension consulting, and the selection of outside advisers. The firm also conducts insurance brokerage activities and uses a fee model that combines a percentage of assets under management with performance‑based fees. Spielberger & Brooks is not identified as an active ESG investor and is registered to operate in a single state.