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BROOKER WEALTH MANAGEMENT
Legal name: JOHN W. BROOKER & CO., CPAS, PC
CRD 105437File 801-19247
APPROVED
Retail clients
Custody
Filing as of Aug 19, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$136.4M
Bottom 25% of cohort (national)
Discretionary AUM
$136.4M
Clients
57
145 accounts
Employees
10
Bottom 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jul 15, 1983
- Principal office
- 7677 OAKPORT STREET, SUITE 300, OAKLAND, CA, 94621
- Phone
- 510-638-1815
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $136.4M
- Discretionary AUM
- $136.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 145
- Non-discretionary accounts
- 0
- Total accounts
- 145
- AUM per client
- $2.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 24 | $89.9M |
| Pension and profit sharing plans | 12 | $35.0M |
| Individuals (other than high net worth individuals) | 21 | $11.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Employees | 8 | 10 | increased by2 |
| Mar 1, 2026 | Clients | 257 | 57 | decreased by200 |
| Mar 1, 2026 | AUM | $592,401,793 | $136,383,187 | decreased by$456,018,606 |
| Mar 1, 2026 | Accounts | 580 | 145 | decreased by435 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 4 | 8 | increased by4 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 276 | 257 | decreased by19 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $566,734,883 | $592,401,793 | increased by$25,666,910 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 586 | 580 | decreased by6 |
| Mar 1, 2022 | Clients | 280 | 276 | decreased by4 |
| Mar 1, 2022 | AUM | $522,967,503 | $566,734,883 | increased by$43,767,380 |
| Mar 1, 2022 | Accounts | 592 | 586 | decreased by6 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “BROOKER WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROOKER WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.