Northbrook Financial Group, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
NorthBrook Financial Group provides portfolio construction and ongoing investment management for individuals, high-net-worth individuals, and trusts, implementing portfolios that may include exchange-traded funds, mutual funds, individual stocks and bonds. The firm also offers income tax preparation and accounting services delivered by its principal (an Enrolled Agent) under separate engagement agreements.
The firm tailors advice through an initial client meeting to understand financial circumstances, goals and risk tolerance, then manages accounts on a discretionary basis with at least quarterly reviews and periodic rebalancing. Clients are generally not permitted to impose restrictions on specific securities or types of securities, and the firm discloses the market and concentration risks inherent in its strategies.
What distinguishes this firm from many peers is the in-house tax and accounting capability provided by the principal, an arrangement the brochure notes is uncommon among independent RIAs and is addressed with separate billing and conflict disclosures. The adviser manages roughly $15 million across a small number of client relationships, does not take custody or vote client securities, and relies on custodial reporting to keep clients informed.
Client services
Expertise
Fee options
$0+: 0.10% +: up to 1.50%
Hourly rate varies depending on complexity, agreed upon prior to services; applies to accounting services separate from portfolio management.
Main office
1010 Racquet Club Drive, Suite 104
Auburn CA 95603
Advisors at this office
1
Most active in
California
Also doing business as
Northbrook Capital Management · Northbrook Financial Group · Northbrook Financial Group, LLC · Northbrook Management, 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:
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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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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