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BROOKWOOD ADVISORS, LLC

BEVERLY, MA · CRD 338550 · IAPD ↗ · 978-720-7500

$964.5MRegulatory AUM
3Advisory reps
5Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

58
June 2026 — BROOKWOOD ADVISORS, LLC now reports custody of client assets ($964.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
63
June 2026 — BROOKWOOD ADVISORS, LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
85
February 2026 — BROOKWOOD ADVISORS, LLC (BEVERLY, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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