# Northbrook Financial Group, LLC

> Northbrook Financial Group, LLC is a state-registered investment advisory firm in Auburn, CA, registered since 1999, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 12, 2026.

- CRD: 130864
- Filed as: NORTHBROOK FINANCIAL GROUP, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Auburn, CA
- Filing period: October 2026
- Form ADV filing dated: January 12, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/130864
- AdvisorCensus page: https://advisorcensus.com/firm/northbrook-financial-group-llc-auburn-ca-130864

## Quick answers

**How is Northbrook Financial Group, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Northbrook Financial Group, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Northbrook Financial Group, LLC located?**
Northbrook Financial Group, LLC's principal office is in Auburn, CA, according to its Form ADV.

**Is Northbrook Financial Group, LLC registered with the SEC or a state?**
Northbrook Financial Group, LLC is a state-registered investment advisory firm, registered since 1999. Status as filed: APPROVED. CRD 130864.

**How much does Northbrook Financial Group, LLC manage?**
Northbrook Financial Group, LLC reports $15,000,000 in regulatory assets under management in its Form ADV filing dated January 12, 2026 (100% discretionary).

**What types of clients does Northbrook Financial Group, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (19); high net worth individuals (2).

**Does Northbrook Financial Group, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/130864

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $15,000,000
- Discretionary: $15,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 19 | $6,500,000 |
| High net worth individuals | 2 | $8,500,000 |

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

### Firm details
- Registered since: 1999 (27 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- northbrookllc.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northbrook Financial Group, LLC (CRD 130864): Form ADV filing data as of October 2026.