Investment adviser · CRD 147197

SPIELBERGER & BROOKS, INC.

Investment adviser filing (IA)

WOODBURY, NY, United States · Form ADV filed Sep 10, 2026

Regulatory AUM: $474M
Client accounts: 251
Employees: 2
Advisory professionals: 2

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	177	$449,960,833	95.0%
Retirement plans	5	$16,546,086	3.5%
Individuals	69	$7,276,787	1.5%
Banks & thrifts	Fewer than 5	$0	0.0%
Charities	Fewer than 5	$0	0.0%
Government entities	Fewer than 5	$0	0.0%
Other investment advisers	Fewer than 5	$0	0.0%
Insurance companies	Fewer than 5	$0	0.0%
Sovereign wealth & foreign institutions	Fewer than 5	$0	0.0%
Corporations & businesses	Fewer than 5	$0	0.0%

Filing source

Form ADV 2130149 · Sep 10, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

0 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

This filing answers No to private funds.

Services & filing details

Most recent filing: Sep 10, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Pension consulting · Selection of other advisers

Compensation

Percentage of assets · Performance-based

Principal office

7600 JERICHO TURNPIKE, SUITE 305
WOODBURY, NY, 11797, United States

CRD 147197

Filing source

Form ADV 2130149 · Sep 10, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.