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RIA / WealthAdvisorCertified Financial Planner26 years in industry

Joseph M Brooks

Advisor at SAPERE WEALTH MANAGEMENT, LLC

MATTHEWS, NC

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Search this name across graphsid dfx:ria:c183697b-3020-c057-8b07-61330c642005

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 13, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SAPERE WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jan 20, 2000
First registration: May 13, 2002
Dual registered: no
Other names: JOSEPH MATTHEW BROOKS|Joseph M Brooks|Joe Brooks
IAPD individual key: 2664035

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SAPERE WEALTH MANAGEMENT, LLC	Independent wealth	May 1, 2024	n/a	yes	MATTHEWS, NC	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Oct 23, 2018	Oct 31, 2023	no	CHARLOTTE, NC	Previous registration
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Apr 19, 2016	Oct 8, 2018	no	CHARLOTTE, NC\|CHARLOTTE, NC\|AUSTIN, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Nov 30, 2010	Sep 22, 2016	no	Charlotte, NC\|CHARLOTTE, NC\|AUSTIN, TX	Previous registration
NRP ADVISORS, INC.	n/a	Dec 16, 2008	Nov 29, 2010	no	CHARLOTTE, NC	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Apr 1, 2005	Nov 26, 2008	no	CHARLOTTE, NC	Previous registration
OSAIC FA, INC.	Former SEC adviser	May 13, 2002	Jun 2, 2003	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	SAPERE WEALTH MANAGEMENT, LLC	Oct 31, 2023	May 1, 2024	183	Firm change	Other
KESTRA ADVISORY SERVICES, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 8, 2018	Oct 23, 2018	15	Firm change	Other
NFP ADVISOR SERVICES, LLC	KESTRA ADVISORY SERVICES, LLC	Sep 22, 2016	Apr 19, 2016	-156	Bulk transfer	Other
NRP ADVISORS, INC.	NFP ADVISOR SERVICES, LLC	Nov 29, 2010	Nov 30, 2010	1	Firm change	Other
NFP ADVISOR SERVICES, LLC	NRP ADVISORS, INC.	Nov 26, 2008	Dec 16, 2008	20	Firm change	Other
OSAIC FA, INC.	NFP ADVISOR SERVICES, LLC	Jun 2, 2003	Apr 1, 2005	669	Firm change after gap	Other

Relationships

Registered with (6)

→ SAPERE WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
May 1, 2024 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Oct 23, 2018 to Oct 31, 2023factForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Apr 19, 2016 to Oct 8, 2018factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Nov 30, 2010 to Sep 22, 2016factForm ADV
→ NRP ADVISORS, INC.Registered adviserregistration: previous registration
Dec 16, 2008 to Nov 29, 2010factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
May 13, 2002 to Jun 2, 2003factForm ADV

Dated events

Occurred
Oct 31, 2023
Advisor changed firm
Joseph M Brooks left Northwestern Mutual Investment Services,Llc for Sapere Wealth Management, Llc (registered 2024-05-01)
Form ADVobserved 6 days ago