RIA Intel›Advisers›New York›BROOKS, WAYNE I

BROOKS, WAYNE I

Advisory

N·UTICA, NY

Data as of Mar 31, 2026 · Source: SEC Form ADV

Total AUM

$58M

1-Year AUM Growth

+12.5%

3-Year CAGR

—

Employees

2

Assets Under Management

Total AUM$58M

Discretionary AUM$58M

Non-Discretionary AUM$0

Discretionary %100%

Total Clients74

Team

Total Employees2

Investment Advisers3

Employee Growth (1Y)—

Filing History

Total Filings on Record3

First FilingJun 13, 2022

Latest FilingMar 31, 2026

🔒 Full AUM trend chart and 3 historical filings spanning 4+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

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📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on BROOKS, WAYNE I

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.