Brooks Financial of North Carolina, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$5,311,628
Clients
37
Advisors
1
of 1 employees
About
Brooks Financial of North Carolina provides financial planning and non-discretionary portfolio management primarily for individual and high-net-worth clients, and also offers retirement-plan services such as profit-sharing and 401(k)/403(b) planning. The firm’s service menu includes insurance planning, retirement rollovers and education for plan participants, and tax preparation as separate offerings.
Accounts are managed on a non-discretionary basis, with the firm confirming trades with clients prior to execution and conducting ongoing supervision and at least annual reviews; investment recommendations draw on both fundamental and technical analysis across stocks, bonds, mutual funds, ETFs and other instruments. The firm discloses a fiduciary duty for retirement-account advice and provides tailored asset-allocation strategies based on each client’s goals and risk tolerance.
Noteworthy features relative to peers include that the firm’s investment advisor representatives are also licensed insurance agents and offer insurance products through affiliated agencies (including Alpha Risk Management), receiving customary insurance commissions separate from advisory fees. The firm reports that it does not exercise investment discretion (ADV shows $0 discretionary and $6,505,073 non‑discretionary AUM) and discloses use of artificial intelligence tools for real‑time note-taking and project research under human supervision.
Client services
Expertise
Fee options
Fixed fees for financial planning ranging from $500 to $3,000
$0 - $250,000: 1.0% $250,000 - $500,000: 0.90% $500,000 - $750,000: 0.75% $750,000 - $1,500,000: 0.60% $1,500,000 - $3,500,000: 0.50% $3,500,000+: Negotiable
$125 per hour for financial planning
Fee-only: Financial planning fees: $125 per hour or fixed fees from $500 to $3,000
Main office
2530 Meridian Parkway, Suite 300
Durham NC 27713
Advisors at this office
1
Most active in
North Carolina
Also doing business as
Brooks Financial · Brooks Financial Of North Carolina, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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