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Richard Rogers

Brookwood Investment Group
37 Years of Experience
Phoenix, AZ
5 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Richard Rogers is a registered investment advisor at Brookwood Investment Group, based in Phoenix, AZ, with 37 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,506 clients with $1.3B in assets under management.

Brookwood Investment Group
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
69 advisors
Number of Clients
3,506 clients
Average Client Portfolio
$357K average
Assets Under Management
$1.3B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable and generally range up to 2.50% depending on portfolio size, complexity, and other factors. A technology fee of $60 per account is charged annually unless waived.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3930 E. Ray Road, Suite 155, Phoenix, AZ, 85044

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
June 2023
Customer Dispute
May 2002
Denied
Regulatory
June 1989
Final
Customer Dispute
December 1986
Settled
Criminal
February 1961
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is an insurance producer with Brookwood Insurance, LLC since 2022, selling fixed insurance products. He dedicates minimal time to this activity.

Employment History
Current Registrations
Brookwood Investment Group
September 2023 - Present · 3 yrs 1 mo
Previous Registrations
Belpointe Asset Management LLC
December 2018 - June 2023 · 4 yrs 6 mos
Wells Fargo Clearing Services, LLC
January 2000 - November 2018 · 18 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
October 1999 - November 2018 · 19 yrs 1 mo
First Union Capital Markets CORP.Broker
August 1999 - October 1999 · 2 mos
Bt Alex. Brown IncorporatedBroker
September 1997 - February 1999 · 1 yr 5 mos
Alex. Brown & Sons IncorporatedBroker
May 1993 - September 1997 · 4 yrs 4 mos
Lehman Brothers INC.Broker
February 1989 - April 1993 · 4 yrs 2 mos
Graystone Nash, INC.Broker
July 1988 - January 1989 · 6 mos
State Registrations1 state
AZ
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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