# Brokaw Rice Investment Advisors, Incorporated

> Brokaw Rice Investment Advisors, Incorporated is a state-registered investment advisory firm, registered since 1996, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 29, 2026.

- CRD: 141533
- Filed as: BROKAW RICE INVESTMENT ADVISORS, INCORPORATED
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: March 29, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/141533
- AdvisorCensus page: https://advisorcensus.com/firm/brokaw-rice-investment-advisors-incorporated-141533

## Quick answers

**How is Brokaw Rice Investment Advisors, Incorporated compensated?**
On its Form ADV (Item 5.E, October 2026), Brokaw Rice Investment Advisors, Incorporated reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Brokaw Rice Investment Advisors, Incorporated registered with the SEC or a state?**
Brokaw Rice Investment Advisors, Incorporated is a state-registered investment advisory firm, registered since 1996. Status as filed: APPROVED. CRD 141533.

**How much does Brokaw Rice Investment Advisors, Incorporated manage?**
Brokaw Rice Investment Advisors, Incorporated reports $6,534,998 in regulatory assets under management in its Form ADV filing dated March 29, 2026 (100% discretionary).

**What types of clients does Brokaw Rice Investment Advisors, Incorporated serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (14); high net worth individuals (3); other (2).

**Does Brokaw Rice Investment Advisors, Incorporated report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/141533

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $6,534,998
- Discretionary: $6,534,998
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 14 | $1,725,497 |
| High net worth individuals | 3 | $3,754,507 |
| Other | 2 | $1,054,994 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 1996 (30 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, TX
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/141533

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brokaw Rice Investment Advisors, Incorporated (CRD 141533): Form ADV filing data as of October 2026.