One Hopper Asset Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$49,605,515
Clients
65
Advisors
2
of 3 employees
About
One Hopper Asset Management provides discretionary asset management and standalone financial planning and consulting to a mix of individual and institutional clients, including high‑net‑worth individuals, businesses, pension and profit‑sharing plans, Taft‑Hartley plans, and charitable institutions and endowments. The firm generally bills advisory services as a percentage of assets under management and offers fixed‑fee planning engagements for consulting work.
The firm combines fundamental and technical analysis, employs both long‑ and short‑term positions, and may use options strategies (calls and puts) for hedging or income generation; accounts are monitored daily with formal reviews at least monthly. Clients typically grant the firm discretionary authority and may impose written investment restrictions, and the firm may aggregate related household accounts for fee breakpoints.
Distinctively, the firm’s principal is registered with an affiliated broker‑dealer and is also licensed to sell insurance products, and the brochure discloses that commission‑based brokerage and insurance sales may present conflicts of interest while clients are under no obligation to use affiliated services. The brochure also notes the firm’s access to broker‑dealer education and training benefits and recent disclosure of standing letters of authorization (SLOAs) for certain client‑directed transfers, both of which are atypical features relative to many peers.
Client services
Expertise
Fee options
$25,000 - $1,000,000: 1.10% $1,000,001 - $3,000,000: 1.00% Over $3,000,000+: 0.85%
Commissions earned by registered representatives for securities and insurance product sales are separate from advisory fees.
$125 per hour for financial planning and consulting services.
Account minimum: $25,000
Main office
2520 Genesee Street
Utica NY 13502
Advisors at this office
2
Most active in
Florida · New York
Also doing business as
Brooks, Wayne I · One Hopper Asset Management
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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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.
Advisors at this firm
Wayne B
Series 63, Series 65
Utica, NY
One Hopper Asset Management
Wayne Brooks is a financial advisor with One Hopper Asset Management in Utica, NY, holding Series 63 and Series 65 licenses and bringing 30 years of industry experience. He has worked at One Hopper Asset Management since 2013 and has been associated with Leigh Baldwin & Co., LLC since 1997. Outside of his advisory role, he is a managing member of a car wash business partly owned by his son. One Hopper Asset Management provides discretionary asset management and financial planning services to individuals, businesses, retirement plans, and charitable institutions. The firm employs a combination of fundamental and technical analysis, using long- and short-term positions and options strategies, with ongoing portfolio management subject to written discretionary authority and regular account reviews.
Joseph S
Series 63, Series 65
Utica, NY
One Hopper Asset Management
Joseph Speciale is a financial advisor with One Hopper Asset Management in Utica, NY, holding Series 63 and Series 65 licenses and bringing 27 years of industry experience. He has worked at Leigh Baldwin & Co., L.L.C. since 2000 and joined One Hopper Asset Management in 2022. Outside of advising, he is the owner of Speciale Fireworks Inc., a retail fireworks business. One Hopper Asset Management provides discretionary asset management and financial planning services to individuals, businesses, retirement plans, and charitable institutions. The firm uses a combination of fundamental and technical analysis, incorporating long- and short-term positions and options strategies, with regular portfolio monitoring and client-imposed investment restrictions.
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