{
  "crd_number": 109239,
  "slug": "brookline-investments-inc-birmingham-al-109239",
  "primary_business_name": "BROOKLINE INVESTMENTS, INC.",
  "legal_name": "BROOKLINE INVESTMENTS, INC.",
  "dbas": [],
  "city": "Birmingham",
  "state": "AL",
  "country": "United States",
  "cbsa_code": "13820",
  "metro": {
    "cbsa_code": "13820",
    "common_name": "Birmingham",
    "msa_name": "Birmingham, AL",
    "path": "/advisors/al/birmingham"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1999-12-16",
  "years_registered": 26,
  "period": "2026-10-01",
  "filing_date": "2026-06-05",
  "carried_forward": false,
  "raum_total": 281468586.0,
  "raum_discretionary": 274540627.0,
  "raum_non_discretionary": 6927959.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0,
      "description": "NONE",
      "fewer_than_5": true
    },
    "charitable": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 6996606.0,
      "count": 3,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 47722175.0,
      "count": 20
    },
    "pooled_investment_vehicles": {
      "raum": 222539260.0,
      "count": 7
    },
    "corporations_other_businesses": {
      "raum": 4210545.0,
      "count": 3
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [
    "AL",
    "AR",
    "CO",
    "FL",
    "GA",
    "MS",
    "TN",
    "TX",
    "WA",
    "WI"
  ],
  "websites": [
    "https://brooklineinvestments.com",
    "https://camponeventures.com",
    "https://facebook.com/CAMPONEVENTURES",
    "https://instagram.com/CAMPONEVENTURES",
    "https://linkedin.com/COMPANY/CAMP-ONE-VENTURES-LLC",
    "https://plus.google.com/+CAMPONEVENTURES",
    "https://twitter.com/CAMP1VENTURES"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109239",
  "disclosure_items": [
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    }
  ],
  "city_as_filed": "BIRMINGHAM",
  "url": "https://advisorcensus.com/firm/brookline-investments-inc-birmingham-al-109239",
  "display_name": "Brookline Investments, Inc.",
  "summary": "Brookline Investments, Inc. is an SEC-registered investment advisory firm in Birmingham, AL, registered since 1999, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 5, 2026.",
  "citation": "AdvisorCensus. Brookline Investments, Inc. (CRD 109239): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Brookline Investments, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Brookline Investments, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other."
    },
    {
      "q": "What does Brookline Investments, Inc.'s brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated April 1, 2026 states: Asset-based fee: 1% to 1.75% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Brookline Investments, Inc. located?",
      "a": "Brookline Investments, Inc.'s principal office is in Birmingham, AL, according to its Form ADV."
    },
    {
      "q": "Is Brookline Investments, Inc. registered with the SEC or a state?",
      "a": "Brookline Investments, Inc. is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 109239."
    },
    {
      "q": "How much does Brookline Investments, Inc. manage?",
      "a": "Brookline Investments, Inc. reports $281,468,586 in regulatory assets under management in its Form ADV filing dated June 5, 2026 (98% discretionary)."
    },
    {
      "q": "How have Brookline Investments, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Brookline Investments, Inc.: Regulatory assets under management: $163,434,235 in the October 2021 data and $281,468,586 in the October 2026 data, up 72%. Total employees: 2 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Brookline Investments, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (20); pooled investment vehicles (other than investment companies and business development companies) (7); pension and profit sharing plans (but not the plan participants or government pension plans) (3)."
    },
    {
      "q": "Which custodians does Brookline Investments, Inc. use?",
      "a": "Brookline Investments, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and U.S. Bancorp Investments, Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Brookline Investments, Inc. report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(1)(c) (regulator's civil action dismissed under a settlement). 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/109239"
    },
    {
      "q": "Does Brookline Investments, Inc. state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated April 1, 2026 says: \"We typically require a minimum asset value of $100,000 for Separately Managed Accounts but may waive this requirement at our discretion.\""
    },
    {
      "q": "What changed in Brookline Investments, Inc.'s recent Form ADV filings?",
      "a": "In the May 2026 filing data: Regulatory assets under management went from $402,561,729 to $281,468,586 (-30%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 163434235.0,
      "total_employees": 2,
      "filing_date": "2021-07-08"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 259488954.0,
      "total_employees": 2,
      "filing_date": "2022-09-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 271104029.0,
      "total_employees": 2,
      "filing_date": "2023-09-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 332388099.0,
      "total_employees": 3,
      "filing_date": "2024-06-21"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 402561729.0,
      "total_employees": 3,
      "filing_date": "2025-03-27"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 281468586.0,
      "total_employees": 3,
      "filing_date": "2026-06-05"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Regulatory assets under management went from $402,561,729 to $281,468,586 (-30%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated April 1, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": "1% to 1.75% a year",
    "stated_maximum": null,
    "account_minimum": "$100,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 1% to 1.75% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "The total annual fee for Investment Advisory Services generally ranges from 1.00% to 1.75%."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $100,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "We typically require a minimum asset value of $100,000 for Separately Managed Accounts but may waive this requirement at our discretion."
        ]
      }
    ],
    "quotes": [
      "The total annual fee for Investment Advisory Services generally ranges from 1.00% to 1.75%.",
      "We typically require a minimum asset value of $100,000 for Separately Managed Accounts but may waive this requirement at our discretion."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "U.S. Bancorp Investments, Inc.",
      "name_as_filed": "U.S. BANCORP INVESTMENTS, INC.",
      "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/brookline-investments-inc-birmingham-al-109239.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 20,
      "fewer_than_5": false,
      "raum": 47722175.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "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": 7,
      "fewer_than_5": false,
      "raum": 222539260.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 3,
      "fewer_than_5": true,
      "raum": 6996606.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 3,
      "fewer_than_5": false,
      "raum": 4210545.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": true,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item 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/109239",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}