Spielberger & Brooks, Inc.

Spielberger & Brooks, Inc. is an independent advisory firm established under its current name since January 1, 2020, with roots dating back to 1998. The firm specializes in providing Investment Advisory Services, including Financial Planning, to high net worth individuals with a minimum of $250,000 in assets. Their investment approach involves managing portfolios tailored to individual client needs, focusing on historical risk-adjusted performance of Exchange Traded Funds (ETFs) and no-load mutual funds. Additionally, they offer services in Insurance, Retirement Planning, Income Tax Planning, Estate Planning, and Educational Planning. The firm charges fees based on a percentage of assets under management, with a tiered fee structure ranging from 1.00% to 0.20% based on asset levels. Clients have the option for discretionary or non-discretionary accounts. Spielberger & Brooks also engages in Performance-Based Fees, with a maximum fee of 20% of annual profits. The firm serves High Net Worth Individuals, Pension and Profit-Sharing Plans, Trusts and Estates, and Corporations. Their investment strategies include long-term and short-term purchases, option writing, trading, short sales, and margin transactions. The firm's methods of analysis include Charting, Fundamental Analysis, and Technical Analysis to minimize risk and maximize potential gains for clients. The firm does not have any disciplinary violations and maintains a Code of Ethics to ensure fair treatment of clients. Clients' accounts are reviewed quarterly, and the firm does not hold custody over most client assets, utilizing Charles Schwab & Co. and other custodians. Clients are encouraged to review account statements regularly.