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SPIELBERGER & BROOKS, INC.
CRD 147197File 801-69153
APPROVED
Retail clients
Custody
Filing as of Mar 26, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$473.8M
Above cohort median (national)
Discretionary AUM
$457.2M
Non-discretionary $16.5M
Clients
251
251 accounts
Employees
2
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Other (specify)
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- May 15, 2008
- Principal office
- 7600 JERICHO TURNPIKE, SUITE 305, WOODBURY, NY, 11797
- Phone
- 516-433-3100
- Website
- HTTP://SPIELBERGERBROOKS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $473.8M
- Discretionary AUM
- $457.2M
- Non-discretionary AUM
- $16.5M
- Discretionary accounts
- 246
- Non-discretionary accounts
- 5
- Total accounts
- 251
- AUM per client
- $1.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $0 |
| 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 | 177 | $450.0M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | 5 | $16.5M |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | 69 | $7.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- Yes
- 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.