Spielberger & Brooks, Inc. is a privately owned independent advisory firm. The Firm has been in business under the Spielberger & Brooks name since January 1, 2020. Prior to the name change, the firm operated under the name Spielberger & Brooks, Inc. since 2008 and Spielberger Dampf Brill and Levine, LLC 1998-2008. S&B provides Investment Advisory Services which on occasion may be referred to as Financial Planning to high net worth individuals. Advisory services are available to individuals with a minimum size of $250,000 in assets. Portfolios are tailored to the individual needs of clients, based on income needs and appetite for risk. Spielberger & Brooks offers the following financial services:
• Investments o We consider ourselves to be “fund of funds” managers. We select and monitor Exchange Traded Funds (ETF’s) and no-load mutual funds on the basis of prior historical risk adjusted performance and advise on purchases and sales to add value, further to client’s defined investment objectives. In addition to our “fund of funds” management style we also invest in but are not limited to the following types of investments: Individual Equities, Municipal/Corporate Bonds, Stock Options, & Structured Products.
• Insurance o Spielberger & Brooks works with many insurance companies and together can assist you not only with determining the amount needed for a scenario but also the type that is right for you.
• Retirement Planning o Spielberger & Brooks can help you design a program that will make the most of your retirement assets. We work closely with both individual and corporate clients to create programs that provide a unique solution to their needs. We offer self-directed Traditional, Rollover, Roth, and SEP IRAs. In addition we work with clients in evaluating their current 401(k) investments.
• Income Tax Planning o Spielberger & Brooks works with highly professional tax associates who clients can choose to work with or we will work together with you and

your accountant to minimize your overall tax burden whenever and wherever possible. The tax services we offer through our team of tax associates include: Review of income tax returns, planning to minimize future taxes, advice on tax effects of proposed investments, & assistance in the corporate with Executive Compensation and Pension Plans.
• Estate Planning o Spielberger & Brooks has great knowledge of the estate tax laws and we are able to assist clients with all of their estate planning needs. When necessary we would be happy to recommend several estate attorney’s to help implement a client’s estate plan. This would include wills, trusts, powers of appointment, and gifting strategies.
• Educational Planning o Spielberger & Brooks will help clients choose which college funding vehicle is appropriate for their children/grandchildren.
• Investment & Tax Reporting o Spielberger & Brooks and Charles Schwab work together with some of the finest technology to bring clients the most in depth and colorful reports. Charles Schwab provides monthly investment position statements and confirmations of all purchases and sales in writing or via email to the investor. In addition, Spielberger & Brooks provides supplemental, graphically- based quarterly performance and asset allocation reports. We work closely with client’s accountants to ensure simplicity at the time tax information is needed. Charles Schwab provides 1099′s and tax related reports that contain realized gains and losses to all clients.
• Company Retirement Plans o We assist corporations and small business owners in meeting their retirement plan objectives. Our ongoing analysis of the vast retirement plan marketplace can help streamline the selection process. As of December 31, 2022, the amount of assets being managed by S&B are as follows: Discretionary: $283,608,195 Non-Discretionary: $6,376,082 Total: $289,984,277