{"url":"https://nivawealth.com/firms/spielberger-and-brooks-147197","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/147197","regulatoryAum":473783706,"crd":"147197","history":[{"filedOn":"2021-03-16","regulatoryAum":393122341,"clients":250,"employees":2,"offices":1},{"filedOn":"2022-03-03","regulatoryAum":377591798,"clients":236,"employees":2,"offices":1},{"filedOn":"2023-03-02","regulatoryAum":289984277,"clients":240,"employees":2,"offices":1},{"filedOn":"2024-02-15","regulatoryAum":330753022,"clients":239,"employees":2,"offices":1},{"filedOn":"2025-02-24","regulatoryAum":390153673,"clients":248,"employees":2,"offices":1},{"filedOn":"2026-09-10","regulatoryAum":473783706,"clients":251,"employees":2,"offices":1}],"secFileNumber":"801-69153","legalName":"Spielberger & Brooks, Inc.","displayName":"Spielberger & Brooks","slug":"spielberger-and-brooks-147197","website":"https://spielbergerbrooks.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/147197/08173c1426acaef4-r1.webp","tone":"light","width":742,"height":200,"sourceUrl":"https://spielbergerbrooks.com/","sourceLabel":"Spielberger & Brooks, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"1998","organization":"New York other (specify)","fiscalYearEnd":"December","headquarters":{"street":"7600 Jericho Turnpike, Suite 305","city":"Woodbury","state":"NY","stateName":"New York","country":"United States","postalCode":"11797"},"tradeNames":[],"registration":{"secApproved":"15 May 2008","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1858689.512195122,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":473783706,"discretionary":457237620,"discretionaryAccounts":246,"nonDiscretionary":16546086,"nonDiscretionaryAccounts":5,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":246},"clientTypes":[{"label":"Individuals (other than HNW)","clients":69,"regulatoryAum":7276787},{"label":"High-net-worth individuals","clients":177,"regulatoryAum":449960833},{"label":"Banking or thrift institutions","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":16546086},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"State or municipal government entities","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Insurance companies","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"fewerThan5":true,"regulatoryAum":0},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":0}],"feePrograms":[{"role":"main","program":"Investment advisory services","feeBasis":"marginal","fee_tiers":[{"to":3000000,"pct":1,"from":0},{"to":4000000,"pct":0.65,"from":3000000},{"to":5000000,"pct":0.5,"from":4000000},{"to":6000000,"pct":0.4,"from":5000000},{"to":7000000,"pct":0.35,"from":6000000},{"to":8000000,"pct":0.3,"from":7000000},{"to":9000000,"pct":0.25,"from":8000000},{"to":null,"pct":0.2,"from":9000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057498","versionId":1057498,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-10","documentName":"ADV PARTII","fee_rate_low":0.2,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":250000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning services","summary":"A negotiated fee may be charged for financial planning services; the brochure states no hourly or fixed rate.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057498","versionId":1057498,"submittedOn":"2026-09-10","documentName":"ADV PARTII"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T09:19:52.63458+00:00","documents":[{"name":"ADV PARTII","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057498","versionId":1057498,"submittedOn":"2026-09-10"}]},"custodians":[],"custodyNote":"Spielberger & Brooks does not have custody of client assets.","leadership":[{"name":"Mark Spielberger","title":"CEO & President","crd":"815365"},{"name":"Craig Brooks","title":"Managing Director & CCO","crd":"4559802"}],"ownership":[{"label":"Mark Spielberger","detail":"Ceo & president in the 50% to 75% ownership band and a control person, since April 2008."},{"label":"Craig Brooks","detail":"Managing director & cco in the 25% to 50% ownership band and a control person, since January 2012."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"7600 Jericho Turnpike, Suite 305","city":"Woodbury","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","tax planning","tax preparation"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"516-433-3100","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":25},{"label":"U.S. government/agency bonds","percent":14},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":53},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Certificates of Deposit"}],"privateFunds":0},"sources":{"adv1FilingDate":"10 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/147197/PDF/147197.pdf","brochureDate":"10 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057498","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Spielberger & Brooks have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Spielberger & Brooks offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Spielberger & Brooks charge?","answer":"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.","source":"ADV PARTII, filed 10 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Spielberger & Brooks have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Spielberger & Brooks invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Spielberger & Brooks have a minimum investment?","answer":"Yes, Spielberger & Brooks’ minimum account size for its Investment advisory services is $250K.","source":"ADV PARTII, filed 10 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Spielberger & Brooks?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Spielberger & Brooks get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Spielberger & Brooks registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Spielberger & Brooks?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 10 September 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."}