{
  "crd_number": 168816,
  "slug": "one-hopper-asset-management-utica-ny-168816",
  "primary_business_name": "ONE HOPPER ASSET MANAGEMENT",
  "legal_name": "BROOKS, WAYNE I",
  "dbas": [],
  "city": "Utica",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "46540",
  "metro": {
    "cbsa_code": "46540",
    "common_name": "Utica",
    "msa_name": "Utica-Rome, NY",
    "path": "/advisors/ny/utica"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2022-07-13",
  "years_registered": 4,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 57541913.0,
  "raum_discretionary": 57541913.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 3,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 7936398.0,
      "count": 1,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 20150107.0,
      "count": 57
    },
    "high_net_worth_individuals": {
      "raum": 29455408.0,
      "count": 8
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "NY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/168816",
  "city_as_filed": "UTICA",
  "url": "https://advisorcensus.com/firm/one-hopper-asset-management-utica-ny-168816",
  "display_name": "One Hopper Asset Management",
  "summary": "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.",
  "citation": "AdvisorCensus. One Hopper Asset Management (CRD 168816): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Educational seminars/workshops"
  ],
  "quick_answers": [
    {
      "q": "How is One Hopper Asset Management compensated?",
      "a": "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."
    },
    {
      "q": "Where is One Hopper Asset Management located?",
      "a": "One Hopper Asset Management's principal office is in Utica, NY, according to its Form ADV."
    },
    {
      "q": "Is One Hopper Asset Management registered with the SEC or a state?",
      "a": "One Hopper Asset Management is an SEC-registered investment advisory firm, registered since 2022. Status as filed: Approved. CRD 168816."
    },
    {
      "q": "How much does One Hopper Asset Management manage?",
      "a": "One Hopper Asset Management reports $57,541,913 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)."
    },
    {
      "q": "How have One Hopper Asset Management's assets and staff changed since 2022?",
      "a": "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."
    },
    {
      "q": "What types of clients does One Hopper Asset Management serve?",
      "a": "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)."
    },
    {
      "q": "Which custodians does One Hopper Asset Management use?",
      "a": "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."
    },
    {
      "q": "Does One Hopper Asset Management report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does One Hopper Asset Management state an account minimum?",
      "a": "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.\""
    },
    {
      "q": "What changed in One Hopper Asset Management's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $51,664,376 to $57,541,913 (+11%)."
    }
  ],
  "filing_history": [
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 36408537.0,
      "total_employees": 2,
      "filing_date": "2022-06-13"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 36362892.0,
      "total_employees": 2,
      "filing_date": "2023-03-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 40923166.0,
      "total_employees": 2,
      "filing_date": "2024-03-15"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 51664376.0,
      "total_employees": 3,
      "filing_date": "2025-03-03"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 57541913.0,
      "total_employees": 3,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $51,664,376 to $57,541,913 (+11%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$25,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $25,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "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."
        ]
      }
    ],
    "quotes": [
      "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."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "National Financial Services LLC",
      "name_as_filed": "NATIONAL FINANCIAL SERVICES LLC",
      "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/one-hopper-asset-management-utica-ny-168816.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 57,
      "fewer_than_5": false,
      "raum": 20150107.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 8,
      "fewer_than_5": false,
      "raum": 29455408.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 1,
      "fewer_than_5": true,
      "raum": 7936398.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/168816",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}