Wealth manager, independent · Phoenix, AZ
Brookwood Investment Group
Brookwood Investment Group LLC · SEC-registered investment adviser · CRD 316544 · SEC 801-122508
At a glance
Brookwood Investment Group is an SEC-registered investment adviser based in Phoenix, Arizona, with $1.3B in regulatory assets under management as of its Form ADV filed March 31, 2026. It reports 3,500 individual clients, 210 of them high-net-worth, holding an average of about $0.4 million each, and 24 employees. That ranks it 879th among the nation’s 5,657 independent wealth management RIAs and 17th of 125 in Arizona. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 480-351-4740brookwoodinvestmentgroup.comAs filed on Form ADV
- Regulatory AUM
- $1.3B
- Rank among independent wealth managers
- #879 of 5,657
- Rank among all SEC RIAs
- #4,743 of 17,210
- Rank in Arizona
- #17 of 125
- Individual clients
- 3,500
- High-net-worth clients
- 210
- Accounts
- 7,129
- Discretionary
- 99% of AUM
- Employees
- 24
- Advisory staff
- 22
- Offices
- 6
Owners and executives on its Form ADV
- Robert W. RaimondoChief Development Officer
- Kimberley A. RaimondoChief Compliance Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Brookwood Investment Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 3,290 | $792M | 63% |
| High-net-worth individuals | 210 | $460M | 37% |
| Corporations or other businesses | 5 | $0M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Brookwood Investment Group reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗brookwoodinvestmentgroup.com ↗
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Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 2,924 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Arizona
All of Arizona →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Total Investment Management, Inc.Scottsdale | $1.4B | 1,184 |
| MSH Capital Advisors LLCScottsdale | $1.3B | 2,257 |
| Fortitude Family OfficeScottsdale | $1.3B | 407 |
| ARQ Wealth Advisors, LLCScottsdale | $1.2B | 597 |
| Balboa Wealth Partners, Inc.Scottsdale | $1.1B | 1,084 |
| GR Financial Group, LLCTucson | $1.1B | 1,548 |
Background
Questions
How much does Brookwood Investment Group manage?
Brookwood Investment Group reports $1.3B in regulatory assets under management across 7,129 accounts, 99% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
How many clients does Brookwood Investment Group have?
It reports 3,500 individual clients: 210 high-net-worth individuals and 3,290 other individuals. Individuals account for about 100% of its regulatory assets.
Where is Brookwood Investment Group headquartered?
Its main office is in Phoenix, Arizona. It reports 6 offices in total and 24 employees, 22 of whom perform investment advisory functions.
How does Brookwood Investment Group charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Brookwood Investment Group use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed March 31, 2026, it reports these amounts held: Charles Schwab ($1.1B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Brookwood Investment Group a hybrid RIA with a broker-dealer?
Brookwood Investment Group reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Brookwood Investment Group a fiduciary?
As an SEC-registered investment adviser, Brookwood Investment Group owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Brookwood Investment Group’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →