Spielberger & Brooks provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, insurance, tax planning, and tax preparation. Financial planning was provided to 1–10 clients last fiscal year.
Spielberger & Brooks reports 251 clients. They include 177 high-net-worth individuals, 69 individual clients, and 5 pension and profit-sharing plans. Of its assets, 96.5% ($457M across 246 accounts) are managed with discretion; $16.5M across 5 accounts are not. It advised 246 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 27% | 2% |
| High-net-worth individuals | 71% | 95% |
| Banking or thrift institutions | Fewer than 5 | 0% |
| Pension and profit-sharing plans | 2% | 3% |
| Charitable organizations | Fewer than 5 | 0% |
| Other client typesState or municipal government entities; Other investment advisers; Insurance companies; Sovereign wealth funds and foreign official institutions; Corporations and other businesses | Not reported | 0% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 69 | $7.28M | 1.5% | $105K |
| High-net-worth individuals | 177 | $450M | 95.0% | $2.54M |
| Banking or thrift institutions | Fewer than 5 | $0 | 0.0% | — |
| Pension and profit-sharing plans | 5 | $16.5M | 3.5% | $3.31M |
| Charitable organizations | Fewer than 5 | $0 | 0.0% | — |
| State or municipal government entities | Fewer than 5 | $0 | 0.0% | — |
| Other investment advisers | Fewer than 5 | $0 | 0.0% | — |
| Insurance companies | Fewer than 5 | $0 | 0.0% | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | $0 | 0.0% | — |
| Corporations and other businesses | Fewer than 5 | $0 | 0.0% | — |
| Total | 251 | $474M | 100% | — |
- Clients
- 69
- Regulatory AUM
- $7.28M
- AUM share
- 1.5%
- Avg. per client
- $105K
- Clients
- 177
- Regulatory AUM
- $450M
- AUM share
- 95.0%
- Avg. per client
- $2.54M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- 5
- Regulatory AUM
- $16.5M
- AUM share
- 3.5%
- Avg. per client
- $3.31M
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- —
Total
- Clients
- 251
- Regulatory AUM
- $474M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 246
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Spielberger & Brooks charges 0.20%–1.00% a year for its Investment advisory services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and requires an account of at least $250,000. The brochure also prices one other service, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$3M | 1.00% |
| $3M–$4M | 0.65% |
| $4M–$5M | 0.50% |
| $5M–$6M | 0.40% |
| $6M–$7M | 0.35% |
| $7M–$8M | 0.30% |
| $8M–$9M | 0.25% |
| $9M and above | 0.20% |
Fee details and sources
Other fees
- Financial planning services
- A negotiated fee may be charged for financial planning services; the brochure states no hourly or fixed rate.
Mark Spielberger owns 50% to 75% of Spielberger & Brooks. The leadership team of Spielberger & Brooks includes President Mark Spielberger. It has 2 employees.
Leadership
Mark SpielbergerCEO & President
Craig BrooksManaging Director & CCO
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 insurance agent
- Owns 50% to 75% of Spielberger & Brooks, Inc.
Mark Spielberger
Control person · since April 2008
- Owns 25% to 50% of Spielberger & Brooks, Inc.
Craig Brooks
Control person · since January 2012
Spielberger & Brooks’ regulatory assets grew from $393M (March 2021) to $474M (September 2026); clients were 251 in both filings and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $474M | 251 | 2 | 1 |
| February 2025 | $390M | 248 | 2 | 1 |
| February 2024 | $331M | 239 | 2 | 1 |
| March 2023 | $290M | 240 | 2 | 1 |
| March 2022 | $378M | 236 | 2 | 1 |
| March 2021 | $393M | 250 | 2 | 1 |
Besides its headquarters, Spielberger & Brooks has 0 offices, with 1 listed address in New York.
New York · 1 listed address
- 7600 Jericho Turnpike, Suite 305, WoodburyHQ
Contact and registration details
- Legal name
- Spielberger & Brooks, Inc.
- Headquarters
- 7600 Jericho Turnpike, Suite 305, Woodbury, NY 11797
- Website
- spielbergerbrooks.com
- Phone
- 516-433-3100
- SEC file
- 801-69153
- Founded
- 1998
- Structure
- New York other (specify)
- Fiscal year end
- December
Spielberger & Brooks does not have custody of client assets.
At year end, Spielberger & Brooks’ separately managed accounts were mostly in funds (53%) and stocks (25%).
What the accounts hold
- Stocks25%
- Funds53%
- Bonds20%
- U.S. government and agency bonds14%
- State and local bonds3%
- Investment grade corporate bonds3%
- Cash1%
- Other1%
- Certificates of deposit1%
How many clients does Spielberger & Brooks have?
Spielberger & Brooks has 251 clients and manages $474 million for them, as of September 2026. They include 177 high-net-worth individuals, 69 individual clients, and 5 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 10 September 2026
What services does Spielberger & Brooks offer?
Spielberger & Brooks provides financial planning, portfolio management for individuals and small businesses, pension consulting, selecting other managers, education planning, estate planning, insurance, tax planning, and tax preparation.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Spielberger & Brooks charge?
Spielberger & Brooks charges 0.20%–1.00% a year for its Investment advisory services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and requires an account of at least $250,000.
How many financial advisors does Spielberger & Brooks have?
Spielberger & Brooks has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Spielberger & Brooks invest in?
At the end of its last fiscal year, Spielberger & Brooks’ separately managed accounts held 53% registered funds (mutual funds, ETFs, BDCs), 25% exchange-traded equities, 14% U.S. government and agency bonds, 3% state and local bonds, 3% investment grade corporate bonds, 1% cash and equivalents and 1% other. The 1% other category is described as: Certificates of Deposit.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Spielberger & Brooks have a minimum investment?
Yes, Spielberger & Brooks’ minimum account size for its Investment advisory services is $250K.
Who owns Spielberger & Brooks?
Spielberger & Brooks’ direct owners are Mark Spielberger (50% to 75%) and Craig Brooks (25% to 50%).
Source: Form ADV Part 1A, Schedules A and B, filed 10 September 2026
How does Spielberger & Brooks get paid?
Spielberger & Brooks 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
Is Spielberger & Brooks registered with the SEC?
Yes, Spielberger & Brooks has been registered with the SEC as an investment adviser since 15 May 2008. Its CRD number is 147197 and its SEC file number is 801-69153.
Source: Form ADV Part 1A, Item 1, filed 10 September 2026; IAPD firm record
How do I contact Spielberger & Brooks?
Spielberger & Brooks’ main office is at 7600 Jericho Turnpike, Suite 305, Woodbury, NY 11797. Its phone number is 516-433-3100. Its website is spielbergerbrooks.com.