Data / Investment advisers / Alabama / Brookline Investments, Inc.
Brookline Investments, Inc., Birmingham, AL: $281 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Brookline Investments, Inc. is an SEC registered investment adviser with its main office in Birmingham, Alabama and reports $281 million in regulatory assets under management in its Form ADV filed June 5, 2026. Its clients include pooled investment vehicles, high net worth individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, performance based fees and other fees. It advises 7 private funds.
The request: Watch Brookline Investments, Inc. (CRD number 109239): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 109239
- SEC file number
- 801-57057
- SEC status
- Approved, effective December 16, 1999
- Main office
- 2830 Cahaba Road Suite 100, Birmingham, AL 35223
- Phone
- (205) 263-2332
- Regulatory AUM
- $281,468,586 in the Form ADV filed June 5, 2026
- Discretionary AUM
- $274,540,627
- Non discretionary AUM
- $6,927,959
- Accounts
- 33
- Employees
- 3, of which 2 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, performance based fees, other fees
- Private funds
- 7: 4 venture capital funds, 2 private equity funds, 1 other private fund
- Gross assets of private funds
- $222,539,260
- Form ADV Item 11 disclosures
- Reported: civil court actions
- Latest Form ADV filing
- June 5, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 7 | $222.5 million |
| High net worth individuals | 20 | $47.7 million |
| Pension and profit sharing plans | 3 | $7 million |
| Corporations or other businesses | 3 | $4.2 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| May 1, 2026 | $281.5 million | April 1, 2026 |
| December 1, 2025 | $402.6 million | November 12, 2025 |
Other advisers in Birmingham
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Navigate Wealth Management, LLC | Birmingham | $429.6 million | Not listed | adviserinfo.sec.gov |
| Cook & Bynum Capital Management, LLC | Birmingham | $359.8 million | 3 | adviserinfo.sec.gov |
| Forager Capital Management, LLC | Birmingham | $352.9 million | 2 | adviserinfo.sec.gov |
| Navigate 401k, LLC | Birmingham | $317.9 million | Not listed | adviserinfo.sec.gov |
| Trust Advisory Group LTD | Birmingham | $313.5 million | Not listed | adviserinfo.sec.gov |
| Birmingham Capital Management Co Inc | Birmingham | $273.6 million | Not listed | adviserinfo.sec.gov |
| New Capital Partners | Birmingham | $232.6 million | 5 | adviserinfo.sec.gov |
| Approach Retirement Advisors, LLC | Birmingham | $227.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Birmingham, AL
- Investment advisers in Alabama
- Advisers with $100 million to $500 million in AUM
- Advisers serving pooled investment vehicles
- Advisers serving high net worth individuals
- Advisers that manage private funds
- Brookline Investments, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.