{"url":"https://nivawealth.com/firms/brookwood-advisors-338550","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/338550","regulatoryAum":964497094,"crd":"338550","secFileNumber":"801-135106","legalName":"Brookwood Advisors, LLC","displayName":"Brookwood Advisors","slug":"brookwood-advisors-338550","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"138 Conant Street, Floor 3","city":"Beverly","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"01915"},"tradeNames":[],"registration":{"secApproved":"7 January 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":5,"advisory":3,"brokerDealerReps":4,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":964497094,"discretionary":964497094,"discretionaryAccounts":6,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":6,"regulatoryAum":964497094}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Brookwood Advisors has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Thomas Trkla","title":"CEO, President, and Chairman","crd":"1238366"},{"name":"Ericka Ayles","title":"CFO","crd":"6530897"},{"name":"Marcia Strouss","title":"CCO","crd":"1365779"}],"ownership":[{"label":"Brookwood Financial Partners, LLC","detail":"Owner in the 75% or more ownership band and a control person, since January 2014."},{"label":"Thomas Trkla","detail":"Indirect owner: a non-managing member of Brookwood Financial Partners, LLC in the 25% to 50% band and a control person, since May 1993.","parent":"Brookwood Financial Partners, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Massachusetts","offices":1,"addresses":[{"street":"138 Conant Street, Floor 3","city":"Beverly","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"978-720-7500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"7 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/338550/PDF/338550.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Brookwood Advisors have?","answer":"Brookwood Advisors has 6 clients and manages $964 million for them, as of May 2026. They include 6 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Brookwood Advisors offer?","answer":"Brookwood Advisors provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Brookwood Advisors have?","answer":"Brookwood Advisors has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 4 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Brookwood Advisors?","answer":"Brookwood Advisors is owned through a holding company by Thomas Trkla. Its direct owner is Brookwood Financial Partners, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Brookwood Advisors get paid?","answer":"Brookwood Advisors is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Brookwood Advisors?","answer":"Brookwood Advisors’ main office is at 138 Conant Street, Floor 3, Beverly, MA 01915. Its phone number is 978-720-7500.","source":"Form ADV Part 1A, Item 1.F, filed 7 May 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}