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BROOKWOOD INVESTMENT GROUP
Legal name: BROOKWOOD INVESTMENT GROUP LLC
CRD 316544File 801-122508
APPROVED
Retail clients
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.25B
Above cohort median (national)
Discretionary AUM
$1.23B
Non-discretionary $17.4M
Clients
3,506
7,129 accounts
Employees
24
Top 25% of cohort in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Oct 18, 2021
- Principal office
- 3930 E. RAY ROAD, SUITE 155, PHOENIX, AZ, 85044
- Phone
- 4803514740
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.25B
- Discretionary AUM
- $1.23B
- Non-discretionary AUM
- $17.4M
- Discretionary accounts
- 7,034
- Non-discretionary accounts
- 95
- Total accounts
- 7,129
- AUM per client
- $357K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 5 | $365K |
| Charitable organizations | 1 | $57K |
| High net worth individuals | 210 | $460.3M |
| Individuals (other than high net worth individuals) | 3,290 | $791.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- 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
- No
- 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 |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 3,160 | 3,506 | increased by346 |
| Apr 1, 2026 | AUM | $1,064,198,265 | $1,252,366,250 | increased by$188,167,985 |
| Apr 1, 2026 | Accounts | 6,200 | 7,129 | increased by929 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 24 | increased by22 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $0 | $1,064,198,265 | increased by$1,064,198,265 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 0 | 6,200 | increased by6,200 |
| Nov 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 “BROOKWOOD INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“BROOKWOOD INVESTMENT” 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.