{"url":"https://nivawealth.com/firms/global-wealth-strategies-127059","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127059","regulatoryAum":147000000,"crd":"127059","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2413100","suffix":null,"lastName":"HOLBROOK","firstName":"RICHARD","middleName":"LINDQUIST"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-11","regulatoryAum":160000000,"clients":35,"employees":1,"offices":1},{"filedOn":"2022-03-22","regulatoryAum":160000000,"clients":35,"employees":1,"offices":1},{"filedOn":"2023-03-16","regulatoryAum":132000000,"clients":35,"employees":1,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":143000000,"clients":35,"employees":1,"offices":1},{"filedOn":"2025-03-20","regulatoryAum":160000000,"clients":35,"employees":1,"offices":1},{"filedOn":"2026-04-06","regulatoryAum":147000000,"clients":35,"employees":1,"offices":1}],"secFileNumber":"801-62751","legalName":"Global 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2"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:52:57.878656+00:00","documents":[{"name":"HOLBROOK GLOBAL STRATEGIES ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040486","versionId":1040486,"submittedOn":"2026-04-06"}]},"custodians":[],"custodyNote":"Global Wealth Strategies does not have custody of client assets.","leadership":[{"name":"Richard Holbrook","title":"President, Chief Compliance Officer","crd":"2413100"}],"ownership":[{"label":"Richard Holbrook","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since May 2003."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"635 Bryant Street","city":"Palo Alto","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"650-346-2630","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Other"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":70},{"label":"Securities issued by registered investment companies or business development companies","percent":28},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"6 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127059/PDF/127059.pdf","brochureDate":"6 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1040486","iapdCompiledDate":null,"retrievedDate":"15 October 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They include 25 high-net-worth individuals and 10 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Global Wealth Strategies offer?","answer":"Global Wealth Strategies provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Global Wealth Strategies charge?","answer":"Global Wealth Strategies charges 0.50%–1.20% a year for its Portfolio management. The fee is billed in advance, has a $12,000 annual minimum and requires an account of at least $1,000,000.","source":"HOLBROOK GLOBAL STRATEGIES ADV PART 2, filed 6 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Global Wealth Strategies have?","answer":"Global Wealth Strategies has 0 investment adviser representatives registered with state securities authorities, out of 1 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or 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":"What does Global Wealth Strategies invest in?","answer":"At the end of its last fiscal year, Global Wealth Strategies’ separately managed accounts held 70% exchange-traded equities, 28% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Global Wealth Strategies have a minimum investment?","answer":"Yes, Global Wealth Strategies’ minimum account size for its Portfolio management is $1M. It charges a $12K annual minimum fee.","source":"HOLBROOK GLOBAL STRATEGIES ADV PART 2, filed 6 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Global Wealth Strategies?","answer":"Global Wealth Strategies’ direct owner is Richard Holbrook (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 6 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Global Wealth Strategies get paid?","answer":"Global Wealth Strategies is paid through a percentage of assets under management and hourly charges. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Global Wealth Strategies registered with the SEC?","answer":"Yes, Global Wealth Strategies has been registered with the SEC as an investment adviser since 3 February 2004. Its CRD number is 127059 and its SEC file number is 801-62751.","source":"Form ADV Part 1A, Item 1, filed 6 April 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Global Wealth Strategies?","answer":"Global Wealth Strategies’ main office is at 635 Bryant Street, Palo Alto, CA 94301. Its phone number is 650-346-2630.","source":"Form ADV Part 1A, Item 1.F, filed 6 April 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."}