Data / Investment advisers / Maryland / Northbrook Financial
Northbrook Financial, Baltimore, MD: $109 million AUM, SEC registered investment adviser
Northbrook Financial is an SEC registered investment adviser with its main office in Baltimore, Maryland and reports $109 million in regulatory assets under management in its Form ADV filed August 17, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 309060
- SEC file number
- 801-136522
- SEC status
- Approved, effective June 26, 2026
- Legal name
- Northbrook Financial Planning LLC
- Main office
- 1340 Smith Ave Ste 200, Baltimore, MD 21209
- Phone
- (410) 941-9709
- Regulatory AUM
- $108,760,000 in the Form ADV filed August 17, 2026
- Discretionary AUM
- $108,760,000
- Accounts
- 474
- Employees
- 8, of which 2 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- August 17, 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 |
|---|---|---|
| High net worth individuals | 24 | $54.4 million |
| Individuals (other than high net worth individuals) | 103 | $54.1 million |
| Pension and profit sharing plans | Fewer than 5 | $320,000 |
Other advisers in Baltimore
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Mount Vernon Associates Inc | Baltimore | $232.5 million | Not listed | adviserinfo.sec.gov |
| Booster, LLC | Baltimore | $229.3 million | Not listed | adviserinfo.sec.gov |
| Equitycompass Investment Management, LLC | Baltimore | $220.9 million | Not listed | adviserinfo.sec.gov |
| Foundry Wealth Advisors, LLC | Baltimore | $163.4 million | Not listed | adviserinfo.sec.gov |
| Jemma Financial Services | Baltimore | $139.8 million | Not listed | adviserinfo.sec.gov |
| JSB Capital Group LLC | Baltimore | Not listed | 21 | adviserinfo.sec.gov |
| Resolve Growth Partners Management Co., LLC | Baltimore | Not listed | 7 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Baltimore, MD
- Investment advisers in Maryland
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Northbrook Financial on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. 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.