# Brooktree Capital Management Inc.

> Brooktree Capital Management Inc. is an SEC-registered investment advisory firm in Grand Rapids, MI, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 6, 2026.

- CRD: 114173
- Filed as: BROOKTREE CAPITAL MANAGEMENT INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Grand Rapids, MI
- Filing period: October 2026
- Form ADV filing dated: March 6, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/114173
- AdvisorCensus page: https://advisorcensus.com/firm/brooktree-capital-management-inc-grand-rapids-mi-114173

## Quick answers

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

**Where is Brooktree Capital Management Inc. located?**
Brooktree Capital Management Inc.'s principal office is in Grand Rapids, MI, according to its Form ADV.

**Is Brooktree Capital Management Inc. registered with the SEC or a state?**
Brooktree Capital Management Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 114173.

**How much does Brooktree Capital Management Inc. manage?**
Brooktree Capital Management Inc. reports $138,924,111 in regulatory assets under management in its Form ADV filing dated March 6, 2026 (100% discretionary).

**How have Brooktree Capital Management Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Brooktree Capital Management Inc.: Regulatory assets under management: $150,541,500 in the October 2021 data and $138,924,111 in the October 2026 data, down 8%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Brooktree Capital Management Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (40); high net worth individuals (31); pooled investment vehicles (other than investment companies and business development companies) (1).

**Which custodians does Brooktree Capital Management Inc. use?**
Brooktree Capital Management Inc.'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 Brooktree Capital Management Inc. 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/114173

**What changed in Brooktree Capital Management Inc.'s recent Form ADV filings?**
In the January 2026 filing data: No longer registered or notice-filed in CO, NY.

## From the Form ADV filing

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

### 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: $138,924,111
- Discretionary: $138,924,111
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 40 | $10,730,171 |
| High net worth individuals | 31 | $102,216,046 |
| 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) | 1 | $25,714,746 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 1 | $170,120 |
| 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 | 1 | $93,028 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2020 (6 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MI, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- brooktreecapital.com
- LinkedIn @brooktree-capital-management

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $150,541,500 | 2 | April 19, 2021 |
| October 2022 | $175,672,177 | 2 | February 16, 2022 |
| October 2023 | $137,401,131 | 2 | September 5, 2023 |
| October 2024 | $132,855,796 | 2 | February 29, 2024 |
| October 2025 | $147,755,589 | 2 | March 5, 2025 |
| October 2026 | $138,924,111 | 2 | March 6, 2026 |

Regulatory assets under management: $150,541,500 in the October 2021 data and $138,924,111 in the October 2026 data, down 8%.
Total employees: 2 in October 2021 and 2 in October 2026.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in CO, NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Brooktree Capital Management Inc. (CRD 114173): Form ADV filing data as of October 2026.