AdvisorCensus / Financial advisors / New York / New York / Spielberger & Brooks, Inc.
Spielberger & Brooks, Inc. is an SEC-registered investment advisory firm in Woodbury, NY, registered since 2008, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 10, 2026.
Quick answers
From the filingHow is Spielberger & Brooks, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Spielberger & Brooks, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees.
Where is Spielberger & Brooks, Inc. located?
Spielberger & Brooks, Inc.'s principal office is in Woodbury, NY, according to its Form ADV.
Is Spielberger & Brooks, Inc. registered with the SEC or a state?
Spielberger & Brooks, Inc. is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 147197.
How much does Spielberger & Brooks, Inc. manage?
Spielberger & Brooks, Inc. reports $473,783,706 in regulatory assets under management in its Form ADV filing dated September 10, 2026 (97% discretionary).
How have Spielberger & Brooks, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Spielberger & Brooks, Inc.: Regulatory assets under management: $393,122,341 in the October 2021 data and $473,783,706 in the October 2026 data, up 21%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Spielberger & Brooks, Inc. serve?
By number of clients on Form ADV Item 5.D: high net worth individuals (177); individuals (other than high net worth individuals) (69); pension and profit sharing plans (but not the plan participants or government pension plans) (5).
Does Spielberger & Brooks, Inc. 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/147197
Does Spielberger & Brooks, Inc. state an account minimum?
Its Form ADV Part 2A brochure dated March 26, 2026 says: "Advisory services are available to individuals with a minimum size of $250,000 in assets."
What changed in Spielberger & Brooks, Inc.'s recent Form ADV filings?
In the March 2026 filing data: Regulatory assets under management went from $390,153,673 to $473,783,706 (+21%).
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
- Performance-based fees
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: $250,000
The brochure's wording
Advisory services are available to individuals with a minimum size of $250,000 in assets.
As stated in the firm's Form ADV Part 2A brochure dated March 26, 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$473,783,706 as of October 2026, filing dated September 10, 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2008 (18 years)
- Employees
- Total: 2. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
3 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 | $473,783,706 | 2 | September 10, 2026 |
| October 2025 | $390,153,673 | 2 | February 24, 2025 |
| October 2024 | $330,753,022 | 2 | February 15, 2024 |
| October 2023 | $289,984,277 | 2 | March 2, 2023 |
| October 2022 | $377,591,798 | 2 | March 3, 2022 |
| October 2021 | $393,122,341 | 2 | March 16, 2021 |
Regulatory assets under management: $393,122,341 in the October 2021 data and $473,783,706 in the October 2026 data, up 21%.
Total employees: 2 in October 2021 and 2 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- March 2026
- Regulatory assets under management went from $390,153,673 to $473,783,706 (+21%).
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.ISource: 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. Spielberger & Brooks, Inc. (CRD 147197): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/spielberger-and-brooks-inc-woodbury-ny-147197