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BROOKLINE INVESTMENTS, INC.
CRD 109239File 801-57057
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$281.5M
Below cohort median (national)
Discretionary AUM
$274.5M
Non-discretionary $6.9M
Clients
33
33 accounts
Employees
3
Below cohort median in AL
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- ARO
- Registration date
- Dec 16, 1999
- Principal office
- 2830 CAHABA ROAD, SUITE 100, BIRMINGHAM, AL, 35223
- Phone
- 205-263-2332
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $281.5M
- Discretionary AUM
- $274.5M
- Non-discretionary AUM
- $6.9M
- Discretionary accounts
- 32
- Non-discretionary accounts
- 1
- Total accounts
- 33
- AUM per client
- $8.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 3 | $4.2M |
| Non-U.S. persons | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 20 | $47.7M |
| Pooled investment vehicles | 7 | $222.5M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | Fewer than 5 | $7.0M |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — PRIVATE FUND INCENTIVE FEES
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
- 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
- Yes
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11H1C
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 12, 2026 | Disclosures | No | Yes | |
| May 1, 2026 | AUM | $402,561,729 | $281,468,586 | decreased by$121,093,143 |
| Dec 1, 2025 vs May 1, 2025 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 3 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 39 | 33 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $259,488,954 | $402,561,729 | increased by$143,072,775 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 39 | 33 | decreased by6 |
| Apr 1, 2022 | Clients | 40 | 39 | decreased by1 |
| Apr 1, 2022 | AUM | $163,434,235 | $259,488,954 | increased by$96,054,719 |
| Apr 1, 2022 | Accounts | 40 | 39 | decreased by1 |
| 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 “BROOKLINE INVESTMENTS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROOKLINE INVESTMENTS” 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.