# Northbrook Financial

> Northbrook Financial is an SEC-registered investment advisory firm in Baltimore, MD, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 17, 2026.

- CRD: 309060
- Filed as: NORTHBROOK FINANCIAL
- Legal name: Northbrook Financial Planning LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Baltimore, MD
- Filing period: October 2026
- Form ADV filing dated: August 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/309060
- AdvisorCensus page: https://advisorcensus.com/firm/northbrook-financial-baltimore-md-309060

## Quick answers

**How is Northbrook Financial compensated?**
On its Form ADV (Item 5.E, October 2026), Northbrook Financial reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**Where is Northbrook Financial located?**
Northbrook Financial's principal office is in Baltimore, MD, according to its Form ADV.

**Is Northbrook Financial registered with the SEC or a state?**
Northbrook Financial is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 309060.

**How much does Northbrook Financial manage?**
Northbrook Financial reports $108,760,000 in regulatory assets under management in its Form ADV filing dated August 17, 2026 (100% discretionary).

**What types of clients does Northbrook Financial serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (103); high net worth individuals (24).

**Which custodians does Northbrook Financial use?**
Northbrook Financial's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Altruist Financial LLC, Betterment Securities and Charles Schwab & Co., Inc. as custodians holding 10% or more of its separately managed account assets.

**Does Northbrook Financial 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/309060

**What changed in Northbrook Financial's recent Form ADV filings?**
In the July 2026 filing data: Newly registered with the SEC. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Altruist Financial LLC
- Betterment Securities
- 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: $108,760,000
- Discretionary: $108,760,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 103 | $54,060,000 |
| High net worth individuals | 24 | $54,380,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $320,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2026 (0 years)
- Employees: 8 total, 2 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: FL, MA, MD, NJ, NY, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- northbrookfinancial.com
- Instagram @northbrook_financial_llc
- LinkedIn @northbrook-financial
- LinkedIn @elliot-pepper-cpa-cfp®-mst-52893b20

## Changes in the filing (last 12 months)

### July 2026
- Newly registered with the SEC.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northbrook Financial (CRD 309060): Form ADV filing data as of October 2026.