BROOKSTONE CAPITAL MANAGEMENT LLC
Latest filing: Aug 28, 2024 (63 days ago)
AUM
$8,842,567,363
18% change vs. 1 year ago
149% change vs. 3 years ago
276% change vs. 5 years ago
806% change vs. 10 years ago
Employee Count
395
3% change vs. 1 year ago
13% change vs. 3 years ago
41% change vs. 5 years ago
80% change vs. 10 years ago
Main Office
WHEATON, IL
1745 S. NAPERVILLE ROAD, WHEATON, IL, UNITED STATES, 60189
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $8.8 |
| Non-Discretionary | $0.0 |
| Total | $8.8 |
| Client | AUM |
|---|---|
| Retail | $8.8 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $8.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 48,600 | $7.9 |
| Average Individual AUM | $162,080 | |
| HNW | 3,700 | $0.9 |
| Average HNW AUM | $236,622 | |
| Retail Total | 52,300 | $8.8 |
| Average Retail AUM | $167,353 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $8.8 |
| Retail SMA AUM | $8.8 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 55% | $4.9 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 5% | $0.4 |
| Municipal | 1% | $0.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 12% | $1.1 |
| HY Credit | 3% | $0.3 |
| Derivatives | 2% | $0.2 |
| Investment Companies | 15% | $1.3 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.2 |
| Other | 5% | $0.4 |
| Total | 100% | $8.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BROOKSTONE ASSET MANAGEMENT, LLC | $0.4 | 153467 | |
| BROOKSTONE WEALTH ADVISORS, LLC | $0.0 | 137658 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
19 active
| Name | Title |
|---|---|
| ZAYED, NADIM, "DEAN" | CHIEF EXECUTIVE OFFICER, TRUSTEE |
| LOVETT, MATTHEW, LEE | CHIEF COMPLIANCE OFFICER |
| RONCONI, DARRYL, DESMOND | PRESIDENT AND CHIEF OPERATING OFFICER |
| DIORIO, MARK, WILLIAM | CHIEF INVESTMENT OFFICER |
| CRUMP, JASON, MICHAEL | VP, RELATIONSHIP MANAGER |
| VANWOERKOM, JOEL, GERALD | VP, OPERATIONS |
ADVDB.CO • SOURCE: SEC
Representatives
315 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT SEILER | WHEATON | IL | S63|1990-12-10|S65|2015-03-23 | ||||||
| JOHN HARRIS | WHEATON | IL | S63|1998-05-26|S65|2018-06-08 | ||||||
| JEREMY WECHSLER | WHEATON | IL | S65|2019-06-12 | ||||||
| DAVID EVANS | WHEATON | IL | CHARTERED FINANCIAL CONSULTANT | ||||||
| RAYMOND WINSLOW | WHEATON | IL | S65|2012-09-18 | ||||||
| LUANN BARNES | WHEATON | IL | S63|1999-04-09|S65|2012-12-06 | ||||||
| KENNETH ORENSTEIN | WHEATON | IL | S63|1987-07-01|S65|2019-06-13 | ||||||
| DUSTIN MUNDORF | WHEATON | IL | S63|2003-04-23|S65|2016-05-16 | ||||||
| RAY CROFF | WHEATON | IL | S63|2004-10-02 | CHARTERED FINANCIAL CONSULTANT | |||||
| NAVID SHEYDAEI | WHEATON | IL | S65|2015-02-14 | ||||||
| MATTHEW HOWARD | WHEATON | IL | S65|2021-08-24 | ||||||
| TYLER JORDAN-TAYLOR | WHEATON | IL | S63|2014-06-13|S65|2020-12-16 | ||||||
| MELODY PINKSTON | WHEATON | IL | S65|2020-10-23 | ||||||
| MATTHEW BURKLUND | WHEATON | IL | S63|2008-01-25|S65|2008-03-20 | ||||||
| THOMAS MARTIN | WHEATON | IL | S63|2011-11-08|S65|2020-07-23 | ||||||
| RALPH GRAUSO | WHEATON | IL | S65|2010-06-08 | ||||||
| JAMES LEGGOTT | WHEATON | IL | S63|2003-01-23|S65|2016-01-05 | ||||||
| RICHARD PUCCIARELLI | WHEATON | IL | S65|2009-12-29 | ||||||
| NANCY SCHILREFF | WHEATON | IL | S65|2014-11-08 | ||||||
| MICHAEL LEMAICH | WHEATON | IL | S63|1998-06-13|S65|2012-06-30 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $8.8 | $0.0 | 0% | 395 | 0 | 0% |
| 2024-04-02 | $8.8 | $0.0 | 0% | 395 | 0 | 0% |
| 2023-04-04 | $7.5 | $1.3 | 18% | 385 | 10 | 3% |
| 2022-04-01 | $8.4 | $0.4 | 5% | 360 | 35 | 10% |
| 2021-04-05 | $3.5 | $5.3 | 149% | 350 | 45 | 13% |
| 2020-04-01 | $3.0 | $5.9 | 200% | 310 | 85 | 27% |
| 2019-04-01 | $2.4 | $6.5 | 276% | 280 | 115 | 41% |
| 2018-04-02 | $2.2 | $6.6 | 299% | 280 | 115 | 41% |
| 2017-04-01 | $1.7 | $7.2 | 424% | 255 | 140 | 55% |
| 2016-04-01 | $1.4 | $7.4 | 516% | 240 | 155 | 65% |
| 2015-04-01 | $1.5 | $7.3 | 475% | 230 | 165 | 72% |
| 2014-04-01 | $1.0 | $7.9 | 806% | 220 | 175 | 80% |
| 2013-04-01 | $0.5 | $8.3 | 1520% | 193 | 202 | 105% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-02/10/2016, AL-04/23/2008, AR-06/20/2007, AZ-06/20/2007, CA-03/20/2007, CO-08/21/2007, CT-07/23/2007, DC-02/27/2008, DE-10/05/2009, FL-07/09/2007, GA-06/09/2008, HI-02/10/2016, IA-11/28/2007, ID-06/29/2009, IL-06/20/2007, IN-06/20/2007, KS-11/06/2007, KY-07/10/2007, LA-06/25/2007, MA-03/17/2011, MD-06/25/2007, ME-07/20/2009, MI-06/20/2007, MN-03/27/2009, MO-06/20/2007, MS-06/20/2007, MT-04/19/2011, NC-06/25/2007, ND-09/10/2008, NE-10/14/2008, NH-04/02/2013, NJ-07/19/2007, NM-04/02/2013, NV-06/20/2007, NY-06/20/2007, OH-06/20/2007, OK-06/20/2007, OR-03/02/2009, PA-06/20/2007, PR-11/02/2022, RI-07/23/2007, SC-03/26/2008, SD-04/02/2013, TN-06/20/2007, TX-06/20/2007, UT-06/20/2007, VA-06/20/2007, VT-03/18/2011, WA-06/20/2007, WI-06/20/2007, WV-09/25/2009 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV