{
  "crd_number": 110497,
  "slug": "brookfield-public-securities-group-llc-new-york-ny-110497",
  "primary_business_name": "BROOKFIELD PUBLIC SECURITIES GROUP LLC",
  "legal_name": "BROOKFIELD PUBLIC SECURITIES GROUP LLC",
  "dbas": [
    "BROOKFIELD PSG",
    "BROOKFIELD PUBLIC SECURITIES GROUP",
    "PUBLIC SECURITIES GROUP"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1989-05-30",
  "years_registered": 37,
  "period": "2026-10-01",
  "filing_date": "2026-09-02",
  "carried_forward": false,
  "raum_total": 66463831334.0,
  "raum_discretionary": 66445834525.0,
  "raum_non_discretionary": 17996809.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 90,
  "advisory_employees": 41,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 177818221.0,
      "count": 5,
      "description": "CDO/REIT"
    },
    "charitable": {
      "raum": 40917890.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 179645264.0,
      "count": 344
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 659081499.0,
      "count": null,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 45518467978.0,
      "count": 28
    },
    "investment_companies": {
      "raum": 3107315432.0,
      "count": 8
    },
    "pension_profit_sharing": {
      "raum": 601200917.0,
      "count": 5
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 430880823.0,
      "count": 7
    },
    "pooled_investment_vehicles": {
      "raum": 14302043317.0,
      "count": 23
    },
    "corporations_other_businesses": {
      "raum": 841804212.0,
      "count": 8
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 604655781.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://publicsecurities.brookfield.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110497",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/brookfield-public-securities-group-llc-new-york-ny-110497",
  "display_name": "Brookfield Public Securities Group LLC",
  "summary": "Brookfield Public Securities Group LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1989, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 2, 2026.",
  "citation": "AdvisorCensus. Brookfield Public Securities Group LLC (CRD 110497): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Brookfield Public Securities Group LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Brookfield Public Securities Group LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Brookfield Public Securities Group LLC located?",
      "a": "Brookfield Public Securities Group LLC's principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 3 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Brookfield Public Securities Group LLC registered with the SEC or a state?",
      "a": "Brookfield Public Securities Group LLC is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 110497."
    },
    {
      "q": "How much does Brookfield Public Securities Group LLC manage?",
      "a": "Brookfield Public Securities Group LLC reports $66,463,831,334 in regulatory assets under management in its Form ADV filing dated September 2, 2026 (100% discretionary)."
    },
    {
      "q": "How have Brookfield Public Securities Group LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Brookfield Public Securities Group LLC: Regulatory assets under management: $17,377,234,589 in the October 2021 data and $66,463,831,334 in the October 2026 data, up 282%. Total employees: 145 in October 2021 and 90 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Brookfield Public Securities Group LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (344); insurance companies (28); pooled investment vehicles (other than investment companies and business development companies) (23)."
    },
    {
      "q": "Which custodians does Brookfield Public Securities Group LLC use?",
      "a": "Brookfield Public Securities Group LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists JP Morgan Chase Bank, NA and The Bank of New York Mellon as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Brookfield Public Securities Group LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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 SEC record: https://adviserinfo.sec.gov/firm/summary/110497"
    },
    {
      "q": "What changed in Brookfield Public Securities Group LLC's recent Form ADV filings?",
      "a": "In the October 2026 filing data: Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5))."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 17377234589.0,
      "total_employees": 145,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 21105228763.0,
      "total_employees": 121,
      "filing_date": "2022-08-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 21952239501.0,
      "total_employees": 126,
      "filing_date": "2023-06-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 21663734415.0,
      "total_employees": 118,
      "filing_date": "2024-06-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 48286884607.0,
      "total_employees": 113,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 66463831334.0,
      "total_employees": 90,
      "filing_date": "2026-09-02"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5))."
      ]
    },
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Added the business name Brookfield PSG.",
        "Employees performing advisory functions went from 38 to 41.",
        "Regulatory assets under management went from $48,286,884,607 to $66,463,831,334 (+38%).",
        "Added an office in Austin, TX.",
        "No longer lists an office in Boulder, CO."
      ]
    },
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2025-11-01",
      "period_label": "November 2025",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "JP Morgan Chase Bank, NA",
      "name_as_filed": "JP MORGAN CHASE BANK, NA",
      "affiliated": false
    },
    {
      "name": "The Bank of New York Mellon",
      "name_as_filed": "THE BANK OF NEW YORK MELLON",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/brookfield-public-securities-group-llc-new-york-ny-110497.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 344,
      "fewer_than_5": false,
      "raum": 179645264.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 7,
      "fewer_than_5": false,
      "raum": 430880823.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 8,
      "fewer_than_5": false,
      "raum": 3107315432.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 23,
      "fewer_than_5": false,
      "raum": 14302043317.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 601200917.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 40917890.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 659081499.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 28,
      "fewer_than_5": false,
      "raum": 45518467978.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": null,
      "fewer_than_5": true,
      "raum": 604655781.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 8,
      "fewer_than_5": false,
      "raum": 841804212.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 5,
      "fewer_than_5": false,
      "raum": 177818221.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110497",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}