Brooks Financial Advisory Group,Inc.
State-registered
Insurance-Affiliated · Boutique (under $100M)
CRD 130984
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· WWW.BROOKSFINANCIALADVISORYGROUP.COM
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ADV data as of Mar 17, 2026
- Regulatory AUM
- $16.6M
- Discretionary
- $0
- Clients
- 61
- Avg AUM / client
- $273K
- Accounts
- 61
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 52 | $7.7M | 46.0% |
| High net worth individuals | 6 | $7.4M | 44.5% |
| Pension and profit sharing plans | 2 | $1.6M | 9.51% |
| Charitable organizations | 1 | $28 | 0.0% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carol Marie Sherr | Registered representative | Apr 2004 (22y) | ||
| Daniel Louis Brooks | Registered representative | Apr 2004 (22y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/17/2026 | 999 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $16.6M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 17, 2026.
View current Form ADV (SEC/IAPD) ↗