BROOKTREE CAPITAL MANAGEMENT INC. other names

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Adviser Profile

As of Date:

02/29/2024

Adviser Type:

- Large advisory firm

Number of Employees:

2

of those in investment advisory functions:

2

Registration:

Texas, Terminated, 2/8/2021

Other registrations (2)
AUM:

132,855,796 -3.31%

of that, discretionary:

132,855,796 -3.31%

Private Fund GAV:

27,551,738 10.17%

Avg Account Size:

1,703,279 93.38%

% High Net Worth:

41.03% -7.40%

SMA’s:

YES

Private Funds:

1

Contact Info

616 xxxxxxx

Websites :
Client Types:

+

Advisory Activities:

+

Compensation Arrangments:

+

Reported AUM

Discretionary
Non-discretionary
176M 151M 125M 100M 75M 50M 25M
2020 2021 2022 2023

Recent News

Brooktree Capital Management Buys IAC/InterActiveCorp, Rimini Street Inc, Alphabet Inc, Sells ...
11/09/2021

Related Stocks: RMNI, IAC, GOOGL, SHSP, NVS, CMI,

gurufocus.com

Brooktree Capital Management Buys Thryv Holdings Inc, Rimini Street Inc, Stryker Corp, Sells ...
08/23/2021

Related Stocks: THRY, RMNI, SYK, IAC,

gurufocus.com

Brooktree Capital Management Buys Thryv Holdings Inc, Rimini Street Inc, IAC/InterActiveCorp, ...
05/03/2021

Related Stocks: IAC, THRY, RMNI, SHSP, CMI, LMT, KO, RTX, CSCO, SJM,

gurufocus.com

Novartis AG
04/01/2021

Stocks: Real-time U.S. stock quotes reflect trades reported through Nasdaq only; comprehensive quotes and volume reflect trading in all markets and are delayed at least 15 minutes. International ...

Barrons

Tootsie Roll Industries Inc.
03/31/2021

Stocks: Real-time U.S. stock quotes reflect trades reported through Nasdaq only; comprehensive quotes and volume reflect trading in all markets and are delayed at least 15 minutes. International ...

Barrons


Private Funds Structure

Fund Type Count GAV
Other Private Fund 1 $27,551,738

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Private Funds



Employees




Brochure Summary

Overview

Our firm is an investment adviser registered with the United States Securities and Exchange Commission and was established in October 1996, by Brian R. Ellis. Effective January 1, 2020, Hunter E. Lewis, CFA purchased a 50% interest in the firm. Mr. Ellis and Mr. Lewis co-own and co-manage the firm in all aspects and as described later in this brochure. Mr. Ellis and Mr. Lewis have substantial business experience involving financial and investment matters, as well as managing investment portfolios. Investment Advisory and Management Services Our firm offers investment advisory services and we manage investment portfolios comprised of various types of securities such as stocks, bonds, mutual funds, exchange-traded funds, and municipal securities. As of March 3, 2023, we manage client accounts valued at approximately $137,401,131 on a discretionary basis. While we manage most of our client’s accounts based on similar investment strategies suitable for similar investment objectives, we will take your personal financial circumstances into account in formulating our advice and investment decisions for your account. Based upon the information you provide, we will consider many factors such as your income and expenses, assets and other financial resources, financial or special needs, investment goals, anticipated investment time horizon, and other personal financial circumstances.
If you have investments held in other accounts not under our management, we will take those investments into consideration if you tell us about them. In managing your account, we will take income tax planning into consideration if you provide us with your historical, current, and anticipated tax- related information. If you desire, we will coordinate our investment decision-making with your tax accountant or preparer. We rely upon you to keep us up to date about changes in your personal circumstances. Brooktree Capital Management, Inc. 2 Firm Brochure Our investment management agreement contains your authorization for us to manage your account on a discretionary basis. It also contains important terms and conditions governing our services, our fees, and our obligations to you. Binding Arbitration We sincerely hope that no dispute will ever arise between us over our advisory services. If you ever have a concern, please talk with us as soon as possible so that your concern can be promptly addressed. In the unlikely event that a dispute cannot be amicably resolved, our investment management agreement provides that all disputes, claims, or controversies, and any related issues, which may arise at any time will be resolved by binding arbitration, rather than by a lawsuit in a court. We believe arbitration is more expeditious and cost-effective than litigation.