Brookwood Investment Group provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars. Financial planning was provided to 51–100 clients last fiscal year.
Brookwood Investment Group reports 3,506 clients. They include 3,290 individual clients, 210 high-net-worth individuals, and 5 corporations and other businesses. Of its assets, 98.6% ($1.23B across 7,034 accounts) are managed with discretion; $17.4M across 95 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 94% | 63% |
| High-net-worth individuals | 6% | 37% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 3,290 | $792M | 63.2% | $241K |
| High-net-worth individuals | 210 | $460M | 36.8% | $2.19M |
| Charitable organizations | 1 | $57.4K | 0.0% | $57.4K |
| Corporations and other businesses | 5 | $365K | 0.0% | $73K |
| Total | 3,506 | $1.25B | 100% | $357K |
- Clients
- 3,290
- Regulatory AUM
- $792M
- AUM share
- 63.2%
- Avg. per client
- $241K
- Clients
- 210
- Regulatory AUM
- $460M
- AUM share
- 36.8%
- Avg. per client
- $2.19M
- Clients
- 1
- Regulatory AUM
- $57.4K
- AUM share
- 0.0%
- Avg. per client
- $57.4K
- Clients
- 5
- Regulatory AUM
- $365K
- AUM share
- 0.0%
- Avg. per client
- $73K
Total
- Clients
- 3,506
- Regulatory AUM
- $1.25B
- AUM share
- 100%
- Avg. per client
- $357K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 51–100
Brookwood Investment Group charges up to 2.50% a year for its Assets Under Management Fees. The fee is billed in advance or in arrears and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Planning and consulting fees are negotiable, generally $1,000 to $10,000 fixed or up to $500 an hour, and may be waived at the firm's discretion.
- Retirement Consulting Services
- Pension consulting fees are negotiable, generally up to 100 basis points of plan assets, or a fixed fee up to $50,000.
Brookwod Consulting LLC owns 75% or more of Brookwood Investment Group. The leadership team of Brookwood Investment Group includes Chief Compliance Officer Kimberley Raimondo. It has 24 employees, 22 of them in advisory roles.
Leadership
- Kimberley RaimondoChief Compliance Officer
- Robert RaimondoChief Development Officer
Investment adviser representatives
69 representatives listed in the SEC register as of 9 October 2026.
- Claire Johnson Alexander
- Darryl Amadio
- William H Anderson
- Daniel Robert Angelone
- Rostam Kevon Atefi
- Otis Caleb Barnard
- Chris Chetwode Belchamber
- Nicholas Adam Bour
- Joanne Fay Brown
- Jeremy David Bryant
- Stephen Anthony Callahan
- Stephen John Caruso
- Casey Cason
- Tracy Lynn Cobb
- Peter Domenick Colicchia
- Christopher Ryan Coolidge
- Sandra Lynn Crook
- Robin Lou Depies
- Terry Eugene Dupont
- Ali El Sayed
- Robert Travis Evans
- Jesse Marichalar Galindo JR.
- William Zev Goldman
- Nicholas M Greenhouse
- John Calvin Gross III
- Gregory Anthony Hadley
- Jason Warren Hedstrand
- David Earl Hendershott
- Ryan Wesley Herche
- Eldrick Hill
- James Barrie Hodge
- Jonathan Leif Holljes
- Carlos Q Ingram
- Courtney LaShay Wiley Ingram
- Zachary Yale Jones
- Cassie Seungrim Kang
- Andrew Jacob Keehn
- Shawn Patrick Kilmurray
- Adam Leslie Klein
- Paul Henry Lefevre III
- John Kenneth Matthews
- Jamilah McCluney
- Barry L Metrokas-Kamison
- Richard Gray Mowrer
- Richard Marc Myer
- Bryan Dean Myers
- Charles Edward Nash
- Bryan Nicolaysen
- Joann Marie North
- Bansi Patel
- Carol Jeanette Pipitone
- Robert William Raimondo
- Terry Glenn Robinson
- Richard Sherman Rogers JR
- Angelica Roxas
- Paul Peter Salamon JR
- Steven Lester Schippel
- Martin Aaron Shapiro
- Gerald Philip Sheridan
- Thomas Edward Space
- Frank Charles Stama
- Thomas Michael Stoltman
- David Douglas Swanson Jr
- Peter Donald Thaldorf
- Charles Henry Trakas JR
- Joseph Edward Ward
- Murray I Woloshin
- John Charles Wright
- Vincent Anthony Yackanin III
Staff
- 24 employees
- 22 in advisory functions
- 24 state-registered reps
- 24 insurance agents
- Owns 75% or more of Brookwood Investment Group LLC
Brookwod Consulting LLC
Control person · since March 2021
- Owns 50% to 75% of Brookwood Investment Group LLC
Robert Raimondo
Control person · since August 2021
- Owns 50% to 75% of Brookwood Investment Group LLC
Kimberley Raimondo
Control person · since August 2021
- Owns 10% to 25% of Brookwood Investment Group LLC
Maia Wealth
since August 2025
Brookwood Investment Group’s regulatory assets grew Infinity× from $0 (March 2022) to $1.25B (March 2026); employees rose from 2 to 24. In 2025, Redwood Private Wealth ($268M in its last filing) joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $1.25B | 3,506 | 24 | 6 |
| July 2025 | $1.06B | 3,160 | 24 | 6 |
| July 2024 | $689M | 1,125 | 18 | 6 |
| July 2023 | $0 | 0 | 18 | 5 |
| March 2022 | $0 | 0 | 2 | 1 |
Firms that joined
20251 joined
- Redwood Private WealthLast filed AUM $268M
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Brookwood Investment Group has 5 offices, with 6 listed addresses across 4 states.
Arizona · 2 listed addresses
- 3930 E. Ray Road, Suite 155, PhoenixHQ
- 1553 W. Todd Drive, Tempe
California · 2 listed addresses
- 8383 Wilshire, Beverly Hills
- 5000 Birch Street, Newport Beach
Colorado · 1 listed address
- 10155 Westmoor DR., Westminster
Rhode Island · 1 listed address
- 3010 Post Road, Warick
Other business names
Brookwood Investment Group has reported 29 other business names to the SEC.
- Apo Financial
- Black Wealth Financial
- Breese Financial Group
- Burgesser Wealth Management
- CK Wealth Management Group
- Compass Wealth Strategies
- Consortium of Wealth Advisors
- Dovetail Capital Management LLC
- Ehill Financial Group
- Evans Financial Group
- Focal Point Financial Services
- Heartfelt Financial Solutions, LLC
Show all 29 names
- Innovative Planning Partners
- Jnorth Financial
- Laurel Wealth Solutions
- Live Life Well Financial
- Martin Shapiro Financial Services
- Metrokas-Kamison Associates
- New Century Capital Management
- Nicolaysen Wealth Partners
- Nvision Wealth
- Redwood Private Wealth
- Strategic Asset Management
- Strategic Asset Preservation, Inc.
- The Retirement Asset Management Group
- Trakas Financial
- Vet Wealth
- Yatra Wealth Design
- Your Financial Planner
Contact and registration details
- Legal name
- Brookwood Investment Group LLC
- Headquarters
- 3930 E. Ray Road, Suite 155, Phoenix, AZ 85044
- Website
- Not reported
- Phone
- 480-351-4740
- SEC file
- 801-122508
- Structure
- Arizona LLC
- Fiscal year end
- December
Brookwood Investment Group uses Charles Schwab ($1.05B) as custodian for its separately managed accounts. Brookwood Investment Group does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Laurium, MI · $1.05B100%
At year end, Brookwood Investment Group’s separately managed accounts were mostly in funds (59%) and stocks (29%). Its reported 13F holdings for the quarter ended 31 March 2026 total $810M across 521 positions; the largest are Vanguard Index Fds (6.1%), Nvidia Corporation (4.8%) and Vanguard Index Fds (3.8%).
What the accounts hold
- Stocks29%
- Funds59%
- Bonds3%
- U.S. government and agency bonds2%
- Investment grade corporate bonds1%
- Cash7%
Filed values cover 98%. The neutral 2% gap has no reported category.
Reported 13F holdings
- $810M
- Reported 13F value
- 521
- Positions
- 27.3%
- In the 10 largest
- —
- Value vs. prior quarter
- Vanguard Index Fds · Total Stk Mkt6.1%
- Nvidia Corporation4.8%
- Vanguard Index Fds · Growth ETF3.8%
- Apple Inc.3.3%
- Broadcom Inc.2.1%
- Amazon Com Inc.1.8%
- Alphabet Inc. · Cap Stk CL A1.5%
- Microsoft Corp.1.5%
- Simplify Exchange Traded Fun · Aggregate Bond E1.2%
- SPDR Gold TR · Gold Shs1.2%
Together, the ten largest are 27.3% of reported value.
How many clients does Brookwood Investment Group have?
Brookwood Investment Group has 3,506 clients and manages $1.25 billion for them, as of March 2026. They include 3,290 individual clients, 210 high-net-worth individuals, and 5 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Brookwood Investment Group offer?
Brookwood Investment Group provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, and educational seminars.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Brookwood Investment Group charge?
Brookwood Investment Group charges up to 2.50% a year for its Assets Under Management Fees. The fee is billed in advance or in arrears and is negotiable.
Source: BROOKWOOD INVESTMENT GROUP FIRM BROCHURE, filed 31 March 2026
Which custodians does Brookwood Investment Group use?
Brookwood Investment Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Laurium, MI), with $1.05B. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Brookwood Investment Group have?
Brookwood Investment Group has 24 investment adviser representatives registered with state securities authorities, out of 24 employees, and 22 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 24 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
What does Brookwood Investment Group invest in?
At the end of its last fiscal year, Brookwood Investment Group’s separately managed accounts held 59% registered funds (mutual funds, ETFs, BDCs), 29% exchange-traded equities, 7% cash and equivalents, 2% U.S. government and agency bonds and 1% investment grade corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Brookwood Investment Group?
Brookwood Investment Group’s direct owners are Robert Raimondo (50% to 75%), Kimberley Raimondo (50% to 75%), Brookwod Consulting LLC (75% or more) and Maia Wealth (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Brookwood Investment Group get paid?
Brookwood Investment Group is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Brookwood Investment Group registered with the SEC?
Yes, Brookwood Investment Group has been registered with the SEC as an investment adviser since 18 October 2021. Its CRD number is 316544 and its SEC file number is 801-122508.
Source: Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record
How do I contact Brookwood Investment Group?
Brookwood Investment Group’s main office is at 3930 E. Ray Road, Suite 155, Phoenix, AZ 85044. Its phone number is 480-351-4740.