AdvisorCensus / Financial advisors / New York / Utica / One Hopper Asset Management
One Hopper Asset Management
Filed as ONE HOPPER ASSET MANAGEMENT · Legal name Brooks, Wayne I
One Hopper Asset Management is an SEC-registered investment advisory firm in Utica, NY, registered since 2022, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is One Hopper Asset Management compensated?
On its Form ADV (Item 5.E, October 2026), One Hopper Asset Management reports these compensation arrangements: a percentage of assets under its management; hourly charges.
Where is One Hopper Asset Management located?
One Hopper Asset Management's principal office is in Utica, NY, according to its Form ADV.
Is One Hopper Asset Management registered with the SEC or a state?
One Hopper Asset Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 168816.
How much does One Hopper Asset Management manage?
One Hopper Asset Management reports $57,541,913 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).
How have One Hopper Asset Management's assets and staff changed since 2022?
In the Form ADV data for One Hopper Asset Management: Regulatory assets under management: $36,408,537 in the October 2022 data and $57,541,913 in the October 2026 data, up 58%. Total employees: 2 in October 2022 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does One Hopper Asset Management serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (57); high net worth individuals (8); charitable organizations (1).
Which custodians does One Hopper Asset Management use?
One Hopper Asset Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists National Financial Services LLC as a custodian holding 10% or more of its separately managed account assets.
Does One Hopper Asset Management 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/168816
Does One Hopper Asset Management state an account minimum?
Its Form ADV Part 2A brochure dated March 31, 2026 says: "We generally impose a minimum account size of $25,000 to open and maintain an advisory account. At our discretion, we may waive or lower this minimum account."
What changed in One Hopper Asset Management's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $51,664,376 to $57,541,913 (+11%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: $25,000 (the brochure says it may be waived or negotiated)
The brochure's wording
We generally impose a minimum account size of $25,000 to open and maintain an advisory account. At our discretion, we may waive or lower this minimum account.
As stated in the firm's Form ADV Part 2A brochure dated March 31, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$57,541,913 as of October 2026, filing dated March 31, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
Registration and firm details
Items 1, 2, 5- Legal name
- Brooks, Wayne I
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2022 (4 years)
- Employees
- Total: 3. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $57,541,913 | 3 | March 31, 2026 |
| October 2025 | $51,664,376 | 3 | March 3, 2025 |
| October 2024 | $40,923,166 | 2 | March 15, 2024 |
| October 2023 | $36,362,892 | 2 | March 7, 2023 |
| October 2022 | $36,408,537 | 2 | June 13, 2022 |
Regulatory assets under management: $36,408,537 in the October 2022 data and $57,541,913 in the October 2026 data, up 58%.
Total employees: 2 in October 2022 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $51,664,376 to $57,541,913 (+11%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. One Hopper Asset Management (CRD 168816): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/one-hopper-asset-management-utica-ny-168816