Wayne I. Brooks d/b/a One Hopper Asset Management is a registered investment adviser based in Utica, NY. We are organized as a sole proprietorship under the laws of the State of NY. We have been providing investment advisory services since 12/16/2013. Wayne I. Brooks is the firm's principal.
Currently we offer the following investment advisory services:
•Asset Management
•Financial Planning and Consulting The following paragraphs describe our services and fees. Please refer to the description of each investment advisory service listed below for information on how we tailor our advisory services to your individual needs. As used in this brochure, the words "we," "our," and "us" refer to One Hopper Asset Management and the words "you," "your" and "client" refer to you as either a client or prospective client of our firm.
Asset Management Services Our asset management service is an ongoing service that typically provides clients with implementation and ongoing investment monitoring and management services. The implementation and investment management component of this service is carried out on a discretionary basis as discussed more fully below. Our investment advice is tailored to meet our clients' needs and investment objectives and clients may impose certain restrictions on investing in certain securities, which must be made in writing.
After the engagement is formalized, you will be requested to provide us with necessary financial information, including but not limited to information on sources of income, assets owned, liabilities, wills, trusts, business agreements, tax returns, investments, and personal and family obligations. In addition, you will be required to provide information on your risk tolerance, financial goals and objectives, both long and short term.
We will we require that you to grant us discretionary authority to manage your account. Subject to a grant of discretionary authorization, we have the authority and responsibility to formulate investment strategies on your behalf. Discretionary authorization will allow us to determine the specific securities and the amount of securities, to be purchased or sold for your account without obtaining your approval prior to each transaction. We will also have discretion over the broker or dealer to be used for securities transactions in your account. Discretionary authority is typically granted by the investment advisory agreement you sign with our firm, a power of attorney, or trading authorization forms.
Financial Planning and Consulting Services Occasionally, we may also provide specific modular or broad-based planning or consulting services which typically involve providing guidance as requested by clients regarding a specific area, and based upon an analysis and discussion of individual needs. Our planning and consulting services may consist of consultations on specific financial-related topics or asset allocation guidance on held-away assets. Clients who seek financial planning, budgeting and/or consulting services without ongoing investment management

may enter into a separate planning and consulting arrangement.
You are under no obligation to act on our planning recommendations. Should you choose to act on any of our recommendations, you are not obligated to implement any recommendations through any of our other investment advisory services. Moreover,you may act on our recommendations by placing securities transactions with any brokerage firm.
4 Financial plans and recommendations are based on your financial situation at the time we present our deliverables to you, and on the financial information you provide to us. You must promptly notify our firm if your financial situation, goals, objectives, or needs change.
Wrap Fee Programs We do not participate in a wrap fee program. Types of Investments We may advise you on any type of investment that we deem appropriate based on your stated goals and objectives. We may also provide advice on any type of investment held in your portfolio at the inception of our advisory relationship. If you request that we refrain from investing in particular securities or certain types of securities, those restrictions must be provided to our firm in writing. IRA Rollover Recommendations Effective December 20, 2021 (or such later date as the US Department of Labor ("DOL") Field Assistance Bulletin 2018-02 ceases to be in effect), for purposes of complying with the DOL's Prohibited Transaction Exemption 2020-02 ("PTE 2020-02") where applicable, we are providing the following acknowledgment to you. When we provide investment advice to you regarding your retirement plan account or individual retirement account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your best interest and not put our interest ahead of yours. Under this special rule's provisions, we must:
•Meet a professional standard of care when making investment recommendations (give prudent advice);
•Never put our financial interests ahead of yours when making recommendations (give loyal advice);
•Avoid misleading statements about conflicts of interest, fees, and investments;
•Follow policies and procedures designed to ensure that we give advice that is in your best interest;
•Charge no more than is reasonable for our services; and
•Give you basic information about conflicts of interest. We benefit financially from the rollover of your assets from a retirement account to an account that we manage or provide investment advice, because the assets increase our assets under management and, in turn, our advisory fees. As a fiduciary, we only recommend a rollover when we believe it is in your best interest.
Assets Under Management As of February 27, 2024, we provide continuous management services for $40,923,166 in client assets on a discretionary basis.