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Philip Brooks

Redwood Family Wealth LLC
49 Years of Experience
Plano, TX
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Philip Brooks is a registered investment advisor at Redwood Family Wealth LLC, based in Plano, TX, with 49 years of industry experience. Philip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Real Estate Investing, and 2 more. Their firm serves 235 clients with $260M in assets under management.

Redwood Family Wealth LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
235 clients
Average Client Portfolio
$1.1M average
Assets Under Management
$258.5M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K1.50%
$50K - $100K1.15%
$100K - $250K1.00%
$250K - $1.0M0.85%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.50%
$5.0M - $10.0M0.35%
$10M+0.20%

Fees are negotiable based on client circumstances. Family member accounts may be combined to reach lower fee tiers.

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

Location

5000 Legacy Dr, Ste 494, Plano, TX, 75024

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History

Regulatory History (4)
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.
Criminal
July 1992
Final Disposition
Regulatory
December 1991
Final
Customer Dispute
July 1991
Settled
Employment Separation After Allegations
October 1990
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Philip is a registered representative with Cabot Lodge Securities LLC, earning trailing annuity commissions, and a principal of PJB Investment Advisors LLC. These activities require minimal time.

Employment History
Current Registrations
Redwood Family Wealth LLC
January 2025 - Present · 1 yr 9 mos
Cabot Lodge Securities LLCBroker
April 2020 - Present · 6 yrs 6 mos
Previous Registrations
Xo Wealth Management
January 2025 - February 2025 · 1 mo
Xo Wealth Management
April 2020 - December 2024 · 4 yrs 8 mos
Raymond James & Associates, INC.Broker
October 2007 - April 2020 · 12 yrs 6 mos
Raymond James & Associates, INC.
October 2007 - April 2020 · 12 yrs 6 mos
RBC Dain Rauscher INC.
June 2002 - November 2007 · 5 yrs 5 mos
RBC Dain Rauscher INC.Broker
March 1998 - November 2007 · 9 yrs 8 mos
Dain Rauscher IncorporatedBroker
January 1998 - March 1998 · 2 mos
Rauscher Pierce Refsnes, INC.Broker
January 1991 - January 1998 · 7 yrs
Smith Barney, Harris Upham & CO., IncorporatedBroker
June 1989 - November 1990 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - June 1989 · 10 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
April 1977 - September 1978 · 1 yr 5 mos
State Registrations3 states
NYTXUT
AdvisorBrokerBoth

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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