# One Hopper Asset Management

> 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.

- CRD: 168816
- Filed as: ONE HOPPER ASSET MANAGEMENT
- Legal name: Brooks, Wayne I
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Utica, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/168816
- AdvisorCensus page: https://advisorcensus.com/firm/one-hopper-asset-management-utica-ny-168816

## Quick answers

**How 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

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

### Fees and minimums (Form ADV Part 2A brochure dated March 31, 2026)

- Account minimum: $25,000 (the brochure says it may be waived or negotiated)

> 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 brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- National Financial Services LLC

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: $57,541,913
- Discretionary: $57,541,913
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 57 | $20,150,107 |
| High net worth individuals | 8 | $29,455,408 |
| Charitable organizations | 1 | $7,936,398 |

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

### Firm details
- Registered since: 2022 (4 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2022 | $36,408,537 | 2 | June 13, 2022 |
| October 2023 | $36,362,892 | 2 | March 7, 2023 |
| October 2024 | $40,923,166 | 2 | March 15, 2024 |
| October 2025 | $51,664,376 | 3 | March 3, 2025 |
| October 2026 | $57,541,913 | 3 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $51,664,376 to $57,541,913 (+11%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. One Hopper Asset Management (CRD 168816): Form ADV filing data as of October 2026.