Spielberger & Brooks, Inc.
- Regulatory AUM
- $474M
- Discretionary
- $457M
- Clients
- 251
- Avg AUM / client
- $1.9M
- Accounts
- 251
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 69 | $7.3M | 1.54% |
| High net worth individuals | 177 | $450M | 95.0% |
| Banking or thrift institutions | Fewer than 5 clients | $0 | — |
| Pension and profit sharing plans | 5 | $16.5M | 3.49% |
| Charitable organizations | Fewer than 5 clients | $0 | — |
| State or municipal government entities | Fewer than 5 clients | $0 | — |
| Other investment advisers | Fewer than 5 clients | $0 | — |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | Fewer than 5 clients | $0 | — |
People (2)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Spielberger, Mark, Henry | Ceo & President | Apr 2008 (18y) | 50% – 75% | |
| Brooks, Craig, David | Managing Director & Cco | Jan 2012 (15y) | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 03/26/2026 | 908 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
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗