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PENBROOK MANAGEMENT LLC
CRD 127269File 801-63460
APPROVED
Retail clients
Custody
Disclosure events
Filing as of May 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$175.4M
Bottom 25% of cohort (national)
Discretionary AUM
$175.4M
Clients
81
168 accounts
Employees
4
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Aug 27, 2004
- Principal office
- 880 THIRD AVENUE, 16TH FLOOR, NEW YORK, NY, 10022
- Phone
- 212-792-6952
- Website
- https://www.penbrookllc.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $175.4M
- Discretionary AUM
- $175.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 168
- Non-discretionary accounts
- 0
- Total accounts
- 168
- AUM per client
- $2.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $4.8M |
| Charitable organizations | Fewer than 5 | $9.6M |
| High net worth individuals | 37 | $138.5M |
| Pooled investment vehicles | 1 | $9.3M |
| Pension and profit sharing plans | Fewer than 5 | $4.1M |
| Individuals (other than high net worth individuals) | 37 | $9.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11D2
- Q11D4
- Q11H2
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 84 | 81 | decreased by3 |
| Mar 1, 2026 | AUM | $169,783,102 | $175,390,001 | increased by$5,606,899 |
| Mar 1, 2026 | Accounts | 175 | 168 | decreased by7 |
| Dec 1, 2025 vs May 1, 2025 | Disclosures | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 95 | 84 | decreased by11 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $181,924,992 | $169,783,102 | decreased by$12,141,890 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 191 | 175 | decreased by16 |
| Apr 1, 2022 | Employees | 3 | 4 | increased by1 |
| Apr 1, 2022 | Clients | 97 | 95 | decreased by2 |
| Apr 1, 2022 | AUM | $176,520,361 | $181,924,992 | increased by$5,404,631 |
| Apr 1, 2022 | Accounts | 192 | 191 | 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 “PENBROOK MANAGEMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PENBROOK MANAGEMENT” 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.