RIA Intel›Advisers›New York›SPIELBERGER & BROOKS, INC.

SPIELBERGER & BROOKS, INC.

Advisory

N·WOODBURY, NY

Data as of Feb 4, 2026 · Source: SEC Form ADV

Total AUM

$474M

1-Year AUM Growth

—

3-Year CAGR

+17.8%

Employees

2

Assets Under Management

Total AUM$474M

Discretionary AUM$457M

Non-Discretionary AUM$17M

Discretionary %96.5%

Total Clients248

Team

Total Employees2

Investment Advisers2

Employee Growth (1Y)—

Filing History

Total Filings on Record30

First FilingApr 29, 2008

Latest FilingFeb 4, 2026

🔒 Full AUM trend chart and 30 historical filings spanning 18+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 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 SPIELBERGER & BROOKS, INC.

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