DB
DB

Darrell Wayne Brooks

36 Years of Experience
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningFinancial Planning & CoachingHigh Net WorthBusiness Owners
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
12 advisors
Number of Clients
570 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$616.5M

Fee Structure

Minimum Investment:$250K
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K1.35%
$500K - $1.0M1.25%
$1M+1.00%

Fees may be negotiable at the sole discretion of the Advisor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

1177 West Loop S, Suite 1825, Houston, TX, 77027

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Darrell is the owner and branch manager of Riverway Financial Group LLC since 2015. He dedicates minimal time to this activity, which is not investment-related.

Employment History
Current Registrations
Saxon Financial Group
January 2022 - Present · 4 yrs 1 mo
Previous Registrations
Raymond James Financial Services Advisors, INC
June 2009 - December 2021 · 12 yrs 6 mos
Raymond James Financial Services, INC.Broker
May 2009 - December 2021 · 12 yrs 7 mos
Banc of America Investment Services, INC.Broker
August 2003 - May 2009 · 5 yrs 9 mos
Banc of America Investment Services, INC.
August 2003 - May 2009 · 5 yrs 9 mos
Wells Fargo Investments, LLC
September 2001 - August 2003 · 1 yr 11 mos
Wells Fargo Investments, LLCBroker
September 2001 - August 2003 · 1 yr 11 mos
Ba Investment Services, INC.Broker
April 1999 - July 1999 · 3 mos
Banc of America Investment Services, INC.Broker
January 1998 - September 2001 · 3 yrs 8 mos
NationssecuritiesBroker
September 1993 - January 1998 · 4 yrs 4 mos
Uslife Equity Sales CORP.Broker
July 1992 - December 1993 · 1 yr 5 mos
American Capital Marketing, INC.Broker
May 1988 - February 1991 · 2 yrs 9 mos
Advantage Capital CorporationBroker
May 1988 - December 1989 · 1 yr 7 mos
Fidelity Brokerage Services, INC.Broker
May 1987 - March 1988 · 10 mos
State Registrations1 state
TX
Advisor
Exams
No exam information available for this advisor.