Brookfield Public Securities Group LLC

CRD#110497
Investment Advisor Firm

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Learn more about Brookfield Public Securities Group LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations

    • Overview

    Brookfield Public Securities Group LLC is located at Brookfield Place, New York, NY. The firm employs 38 financial advisors. Brookfield Public Securities Group LLC is not a registered broker-dealer.

    The firm manages $48.3 billion in assets under management across 115 accounts, with 112 discretionary accounts and 3 non-discretionary accounts. Services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, and selection of other advisers. The firm serves retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, insurance companies, and corporations, with retail investors representing the largest client type by accounts. The fee structure includes asset-based, fixed, and performance-based fees. Brookfield Public Securities Group LLC has 12 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, banking or thrift institution, insurance company or agency, real estate broker or dealer, and commodity pool advisor.

    Brookfield Public Securities Group LLC is registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Utah, Vermont, Virginia, West Virginia, Wisconsin, Wyoming, Missouri, Washington, Texas, and New Hampshire.

    Assets Under Management

    $48.3 billion

    Number of Advisors

    38

    Disclosures

    No

    Office Location

    Brookfield Place
    New York, NY 10281-1023

    Brookfield Public Securities Group LLC by the Numbers

    Total Assets Under Management

    $48.3 billion

    National Average: $8.6 billion
    Total Number of Employees

    113

    National Average: 64
    Total Number of Accounts

    115

    National Average: 375,227
    Average Account Size

    $419.9 million

    National Average: $23.0 thousand
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    Products and Services

    Financial services that Brookfield Public Securities Group LLC offers include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, and selection of other advisers. Notably, it did not provide financial planning services to any of its clients in the last fiscal year. It is not involved in selling products or offering services apart from investment advice to its investment advisory accounts. It is also affiliated with one or more other service providers in the financial services industry, including with a broker-dealer or securities dealer, banking or thrift institution, insurance company or agency, real estate broker or dealer, and commodity pool advisor.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advisory services usually vary depending on which service is provided. Fees charged by Brookfield Public Securities Group LLC can include some combination of the following fee types: asset-based, fixed, and performance-based. The firm does participate in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.The firm can withdraw the expenses directly from customer funds.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company does business with a broad range of clients. The firm works with retail investors, high net worth investors, investment companies, pooled investment vehicles, pension plans, insurance companies, and corporations. Out of its 115 clients, Brookfield Public Securities Group LLC's largest client type by number of accounts is retail investors, but it also serves 12 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who is a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 8% of its accounts are non-U.S. persons.

    • High-Net-Worth Individuals* - 3.24%
    • Other Individuals - 77.57%
    • Corporations - 19.19%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Brookfield Public Securities Group LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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