Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

BROOKLINE INVESTMENTS, INC.

dba BROOKLINE INVESTMENTS, INC. · CRD 109239 · Registered Investment Adviser

Civil/Other disclosureCustody via related personManages private funds

BROOKLINE INVESTMENTS, INC. is a Registered Investment Adviser headquartered in BIRMINGHAM, AL. The firm reports $281,468,586 in regulatory assets under management across 33 accounts, and manages 7 private fund(s). It reports 1 Form ADV Item 11 disciplinary disclosure(s) (Civil/Other).

Regulatory assets under management

Discretionary	$274,540,627
Non-discretionary	$6,927,959
Total RAUM	$281,468,586
Accounts	33

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 1 Item 11 disclosure question(s):

Category	Reported
Criminal (11A / 11B)	—
Regulatory (11C–11F)	—
Civil / Other (11G / 11H)	Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 109239. adviserinfo.sec.gov/firm/summary/109239.
SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.