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Owner/ Chief Compliance Officer · One Hopper Asset Management

Wayne I. Brooks

CRD 2142197 · Named on Form ADV at one SEC-registered adviser

At a glance

One Hopper Asset Management, an SEC-registered wealth manager based in Utica, NY with $58 million in regulatory assets, lists Wayne I. Brooks on its Form ADV as Owner/ Chief Compliance Officer, a control person.

Firms and roles

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Wayne’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Wayne’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.