Brookwood Investment Group

Name

Brookwood Investment Group

Legal name

Brookwood Investment Group, LLC

Website

https://brookwoodinvestmentgroup.com

Company type

Private

Founded year

2021

Operating status

Operating

Headcount range

11–50 employees

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940), Portfolio Management and Investment Advice (52394)

SIC

Investment Advice (6282), Services-Management Consulting Services (8742)

akta.pro primary industry

Comprehensive/Full-Service RIAs & Independent Wealth Managers (FSAAACAA)

akta.pro secondary industries

Institutional Consulting RIAs (OCIO/Endowments/Foundations/Pensions) (FSAAACAG), Portfolio Management–Led RIAs (Discretionary/Model-Based) (FSAAACAC)

Keywords

• Registered investment advisory
• Wealth management services
• Financial advisor platform
• AI investment strategies
• Fiduciary financial planning

Headquarters

HQ city

Phoenix

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure, Others

Revenue model

1. Investment Advisory Services: Brookwood generates revenue through investment advisory fees, likely based on assets under management (AUM). The company is registered with the SEC as an investment adviser under the Investment Advisers Act of 1940, providing personalized investment advice and wealth management services.

Pricing tiers

Go-to-market motion2 records

Distribution channels3 records

Marketing channels4 records

Core offering

Brookwood Investment Group is a registered investment advisor (RIA) that delivers wealth management, financial planning, and investment advisory services to individual investors and families, while providing entrepreneurial financial advisors with a partnership platform encompassing AI-driven investment strategies, technology (Orion, UPTIQ, Estate Guru integrations), compliance support, OCIO solutions, performance coaching, and back-office services. The firm earns revenue primarily through investment advisory fees based on assets under management and operates under a custodian-agnostic model integrated across major broker-dealer custodians.

Product overview

Brookwood Investment Group operates as a platform-plus-modules architecture serving as a Registered Investment Advisor (RIA) for entrepreneurial financial advisors. The core platform includes AI-Driven Active Strategies (leveraging real-time holdings analysis and machine learning), Smart Alpha (combining AI equity selection with fixed income expertise), and a Model Marketplace for curated investment strategies. The platform integrates technology partners including Orion (wealth management software), UPTIQ, and Estate Guru. Additional modules include Financial Planning, Behavioral Finance Tools, Lending Platform, and Estate Planning Tools under the 'Expand Your Offering' suite, plus Compliance Management, OCIO Solutions, Performance Coaching, and Administrative Support under 'Professional Support' services. The Financial Advisor Essentials provides the foundational software suite including CRM, trading, billing, accounting, reporting, research, risk analysis, and proposal generation.

Differentiator

Problem solved

Functional benefit

Brands

• HumanAlpha™: Brookwood's philosophy emphasizing the advantage of being deeply human in an increasingly machine-driven world. It represents the firm's belief that wealth should serve people and that human insight and genuine connection are central to financial advice.
• SmartAlpha™
• Coopetition™

Products and services

• AI-Driven Active Strategies Exclusive AI-driven investment strategies that analyze real-time holdings and weights of active US equity funds. The strategies use machine learning to uncover unique market opportunities and generate consensus 'best bets' from top active managers across asset classes and styles, designed for individual investors and the firm's advisor network.
• Smart Alpha Proprietary investment strategy combining AI-driven equity selections with expert-driven fixed income strategies to create custom portfolios tailored to client risk profiles, delivering balanced growth and stability. For individual investors and advisors on the Brookwood platform.
• Fixed Income Strategies Value-oriented fixed income strategies providing dependable income and capital preservation, integrated into client portfolios as part of the broader investment approach. For individual investors and advisors using Brookwood's platform.
• Model Marketplace Online platform providing financial advisors access to a wide range of curated investment strategies with diverse portfolios designed to meet different client needs and goals, featuring advanced customization tools, filters, and search functionalities for portfolio optimization.
• Financial Advisor Essentials Comprehensive suite of software tools and back-office services for financial advisors, including CRM, trading, billing, accounting, reporting, research, risk analysis, proposal generation, and compliance support. Sold to advisors joining the Brookwood RIA platform.
• Compliance Management Comprehensive compliance service for financial advisors, including end-to-end compliance management, custom strategies, streamlined processes, and thorough documentation to meet regulatory requirements. Sold as a support service to advisors on the Brookwood platform.
• OCIO Solutions Outsourced Chief Investment Officer (OCIO) solutions providing strategic guidance, custom investment management, fixed income expertise, and comprehensive portfolio oversight. For financial advisors seeking institutional-grade investment leadership without an in-house CIO.
• Performance Coaching Dedicated professional coaching for financial advisors to refine skills, enhance client engagement, and achieve personal and professional goals. Available to advisors on the Brookwood platform.
• Administrative Support Comprehensive administrative support handling scheduling, client communication, document management, and compliance tracking for financial advisors on the Brookwood platform.
• Financial Planning Service Advanced financial planning tools covering retirement, tax strategies, investment goals, and cash flow management for advisors and their clients. Delivered through the Expand Your Offering suite.
• Behavioral Finance Tools Behavioral finance tools helping financial advisors understand the psychological factors driving client financial decisions, with insights into risk tolerance and decision-making. Offered to advisors on the platform.
• Lending Platform Innovative lending platform offering personal and business loans, lines of credit, and mortgages for seamless integration into wealth management services. Made available to advisors' clients.
• Estate Planning Tools Robust estate planning tools for creating wills, trusts, and asset protection strategies with an attorney-connected process. Offered to advisors and their clients through the Expand Your Offering suite.

Named customers4 records

Segments2 records

Ideal customer profiles2 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration8 records

AI capability5 records

Feature4 records

Partnerships

Seven partnerships are on record, tiered core.

• OrioncoreTechnology or IntegrationOrion provides the primary financial planning software platform for Brookwood's advisor network. The platform enables comprehensive financial planning, portfolio management, reporting, and client relationship management for advisors using the Brookwood system.
• UPTIQcoreTechnology or IntegrationUPTIQ platform serves as a key technology partner providing integrated wealth management solutions for Brookwood advisors, enabling comprehensive client service and practice management capabilities.
• Fidelity InvestmentscoreTechnology or IntegrationFidelity serves as a custodian partner, providing custody services for client assets managed through Brookwood's platform. The firm offers seamless integration for advisors to maintain their preferred custodial relationships.
• Charles SchwabcoreTechnology or IntegrationCharles Schwab serves as a custodian partner providing custody and clearing services for advisor-managed accounts, enabling Brookwood advisors to maintain their preferred custodial relationships.
• PershingcoreTechnology or IntegrationPershing, a BNY Mellon company, provides custody and operational infrastructure for Brookwood advisors' client accounts, supporting the firm's custodian-agnostic approach.
• Raymond JamescoreTechnology or IntegrationRaymond James serves as a custodian option for Brookwood advisors, providing custody services that integrate with the firm's technology and practice management platform.
• LPL FinancialcoreTechnology or IntegrationLPL Financial provides custody services for Brookwood advisor accounts, supporting the custodian-agnostic model that allows advisors flexibility in their preferred platforms.

Scale indicators3 records

Recent moves6 records

Expansion highlights5 records

Broad incumbents

• Cetera Financial Group: Large independent advisor-focused wealth solutions platform offering custody, technology, and practice management to RIAs and breakaway advisors. Overlaps with Brookwood's advisor-serve offering but is much larger and more diversified.
• Focus Financial Partners: The preeminent RIA rollup/aggregator with hundreds of partner firms. Demonstrates the rollup playbook Brookwood is executing at a much smaller scale and signals the category's eventual consolidation logic.
• LPL Financial: Largest independent broker-dealer/RIA custodian in the U.S. and one of Brookwood's custodian partners. Competes for the same entrepreneurial advisor segment while also serving as an infrastructure option.
• Mercer Advisors: National RIA with deep OCIO, financial planning, and wealth management capabilities serving individuals and institutions. Comparable to Brookwood's OCIO Solutions module and full-service RIA model.
• CAPTRUST: Large RIA providing investment management, financial planning, and OCIO services across institutional and private wealth segments. Comparable in OCIO offering and fiduciary advisory positioning.

Direct peers

• Carson Group: RIA platform serving entrepreneurial financial advisors with coaching, technology, and community resources. Mirrors Brookwood's Coopetition culture, advisor-development focus, and 'serve the advisor' positioning.
• Sanctuary Wealth: Premier RIA platform purpose-built for entrepreneurial breakaway advisors with custodian-agnostic operations and a partnership/community model. Closest analog to Brookwood's advisor-serve segment in strategy and target customer.
• Cambridge Investment Research: Independent broker-dealer/RIA platform supporting breakaway and entrepreneurial advisors across the U.S. with multi-custodian support, comparable to Brookwood's advisor partnership distribution model.
• Mariner Wealth Advisors: Full-service RIA offering wealth management and advisor platform solutions including OCIO. Comparable to Brookwood across direct advisory services, advisor partnership model, and product breadth.

Others

• Orion Advisor Technology: Core technology partner (financial planning, portfolio management software) integrated into Brookwood's advisor platform. Useful as an ecosystem/infra comparable rather than a direct competitor.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat6 records

Key risks6 records

Key highlights7 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles9 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Brookwood Investment Group