# 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.

- CRD: 147197
- Filed as: SPIELBERGER & BROOKS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Woodbury, NY
- Filing period: October 2026
- Form ADV filing dated: September 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/147197
- AdvisorCensus page: https://advisorcensus.com/firm/spielberger-and-brooks-inc-woodbury-ny-147197

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Account minimum: $250,000

> Advisory services are available to individuals with a minimum size of $250,000 in assets.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $473,783,706
- Discretionary: $457,237,620
- Non-discretionary: $16,546,086

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 69 | $7,276,787 |
| High net worth individuals | 177 | $449,960,833 |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | Not reported | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 5 | $16,546,086 |
| Charitable organizations | Fewer than 5 | $0 |
| State or municipal government entities (including government pension plans) | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $0 |
| Other | Not reported | $0 |

### 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)

### Firm details
- Registered since: 2008 (18 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $393,122,341 | 2 | March 16, 2021 |
| October 2022 | $377,591,798 | 2 | March 3, 2022 |
| October 2023 | $289,984,277 | 2 | March 2, 2023 |
| October 2024 | $330,753,022 | 2 | February 15, 2024 |
| October 2025 | $390,153,673 | 2 | February 24, 2025 |
| October 2026 | $473,783,706 | 2 | September 10, 2026 |

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.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $390,153,673 to $473,783,706 (+21%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Spielberger & Brooks, Inc. (CRD 147197): Form ADV filing data as of October 2026.