# Brooker Wealth Management

> Brooker Wealth Management is an SEC-registered investment advisory firm in Oakland, CA, registered since 1983, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 19, 2026.

- CRD: 105437
- Filed as: BROOKER WEALTH MANAGEMENT
- Legal name: John W. Brooker & Co., CPAS, PC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Oakland, CA
- Filing period: October 2026
- Form ADV filing dated: August 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105437
- AdvisorCensus page: https://advisorcensus.com/firm/brooker-wealth-management-oakland-ca-105437

## Quick answers

**How is Brooker Wealth Management compensated?**
On its Form ADV (Item 5.E, October 2026), Brooker Wealth Management reports these compensation arrangements: a percentage of assets under its management; hourly charges.

**Where is Brooker Wealth Management located?**
Brooker Wealth Management's principal office is in Oakland, CA, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Brooker Wealth Management registered with the SEC or a state?**
Brooker Wealth Management is an SEC-registered investment advisory firm, registered since 1983. Status as filed: Approved. CRD 105437.

**How much does Brooker Wealth Management manage?**
Brooker Wealth Management reports $136,383,187 in regulatory assets under management in its Form ADV filing dated August 19, 2026 (100% discretionary).

**How have Brooker Wealth Management's assets and staff changed since 2021?**
In the Form ADV data for Brooker Wealth Management: Regulatory assets under management: $522,967,503 in the October 2021 data and $136,383,187 in the October 2026 data, down 74%. Total employees: 4 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Brooker Wealth Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (24); individuals (other than high net worth individuals) (21); pension and profit sharing plans (but not the plan participants or government pension plans) (12).

**Which custodians does Brooker Wealth Management use?**
Brooker Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Brooker Wealth Management report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105437

**Does Brooker Wealth Management state an account minimum?**
Its Form ADV Part 2A brochure dated August 19, 2026 says: "Brooker Wealth requires a minimum account size of $100,000 but may waive this requirement in its discretion."

**What changed in Brooker Wealth Management's recent Form ADV filings?**
In the March 2026 filing data: Employees performing advisory functions went from 4 to 5. Regulatory assets under management went from $592,401,793 to $136,383,187 (-77%). Added an office in San Ramon, CA. Registered or notice-filed in OR.

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated August 19, 2026)

- Account minimum: $100,000 (the brochure says it may be waived or negotiated)

> Brooker Wealth requires a minimum account size of $100,000 but may waive this requirement in its discretion.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $136,383,187
- Discretionary: $136,383,187
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 21 | $11,427,941 |
| High net worth individuals | 24 | $89,922,341 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 12 | $35,032,905 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

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

### Firm details
- Registered since: 1983 (43 years)
- Employees: 10 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, OR, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- San Ramon, CA

### Websites listed on Form ADV (Item 1.I)
- brooker-cpa.com/wealth-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $522,967,503 | 4 | March 22, 2021 |
| October 2022 | $566,734,883 | 4 | September 1, 2022 |
| October 2023 | $507,587,809 | 4 | March 2, 2023 |
| October 2024 | $562,841,179 | 4 | March 12, 2024 |
| October 2025 | $592,401,793 | 8 | May 16, 2025 |
| October 2026 | $136,383,187 | 10 | August 19, 2026 |

Regulatory assets under management: $522,967,503 in the October 2021 data and $136,383,187 in the October 2026 data, down 74%.
Total employees: 4 in October 2021 and 10 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Employees performing advisory functions went from 4 to 5.
- Regulatory assets under management went from $592,401,793 to $136,383,187 (-77%).
- Added an office in San Ramon, CA.
- Registered or notice-filed in OR.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brooker Wealth Management (CRD 105437): Form ADV filing data as of October 2026.