Wayne Brooks
Wayne Brooks is a registered investment advisor at One Hopper Asset Management, based in Utica, NY, with 31 years of industry experience. Wayne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 74 clients with $52M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.10% |
| $1.0M - $3.0M | 1.00% |
| $3M+ | 0.85% |
All fees are subject to negotiation and will never exceed the referenced fee schedule.
Fee Estimator
Location
2520 Genesee Street, Utica, NY, 13502
Get directionsHistory
Regulatory History (1)
Criminal
June 1995Other Business ActivitiesSells Insurance
Wayne is a campaign treasurer for various political campaigns, sells fixed insurance/term/UL/fixed annuities, and owns real estate. He also is a managing member and part owner of a car wash, taking a few hours per week.
Employment History
Current Registrations
One Hopper Asset Management
Leigh Baldwin & CO., LLCBroker
Previous Registrations
Huss Services, INC.Broker
Ibn Financial Services, INC.Broker
Excel SecuritiesBroker
Pendrick Reeves Associates, INC.Broker
Continental Broker-Dealer CORP.Broker
State Registrations4 states
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.