SourcingSourcing

SPIELBERGER & BROOKS, INC.

B50
CRD 147197·SEC 801-69153·WOODBURY, NY
AUM
$473.8M
$100M-$500M
Est. Revenue
$4.7M
@ 1% on AUM
Est. EBITDA
$1.4M
@ 30% margin
Est. Deal Value
$11.4M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SPIELBERGER & BROOKS, INC.
CRD
147197
SEC file #
801-69153
EIN
—
DBA names
—

Economics

AUM
$473.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$327.1M → $473.8M▲ +45%
Client mix
Individuals High Net Worth177
Individuals Other69
Pension Profit Sharing Plans5

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
WOODBURY NY
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwabmedium confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/26/2026
ADV-W filed at
—
Website
spielbergerbrooks.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SPIELBERGER, MARK, HENRY
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SPIELBERGER, MARK, HENRY
BROOKS, CRAIG, DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SPIELBERGERBROOKS.COM
Rdap Domain Creation Date
2021-03-08T17:51:52Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
eNom, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Window
Charles Schwab24
Full
Charles Schwab24
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-03-08T17:51:52Z
Rdap Domain Last Changed
2026-01-23T09:22:36Z
Rdap Nameservers
Ns.liquidweb.comNs1.liquidweb.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
815365
Trust Company Affiliate
No

People (2)

2
SPIELBERGER, MARK, HENRY
Direct Owner · 62.5%
815365
BROOKS, CRAIG, DAVID
Direct Owner · 37.5%
4559802