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.