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BROOKER WEALTH MANAGEMENT

OAKLAND, CA · CRD 105437 · IAPD ↗ · brooker-cpa.com · 510-638-1815

$136.4MRegulatory AUM
5Advisory reps
10Employees
0Clients
1-10Planning clients
0Private funds
3States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
March 2026 — BROOKER WEALTH MANAGEMENT notice-filed in OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
March 2026 — BROOKER WEALTH MANAGEMENT reported RAUM down 77% ($592.4M -> $136.4M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
50
March 2026 — BROOKER WEALTH MANAGEMENT added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
53
June 2025 — BROOKER WEALTH MANAGEMENT shrank from 7 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
72
March 2025 — BROOKER WEALTH MANAGEMENT grew from 3 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.