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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant41 years in industry

CURTIS RANDALL BROOKS

Advisor at 5C CAPITAL MANAGEMENT, LLC

WOODCLIFF LAKE, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 16, 2003 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: 5C CAPITAL 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: Feb 13, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S65|S63
First exam: Feb 13, 1985
First registration: Jan 16, 2003
Dual registered: no
Other names: CURT BROOKS|Curtis R Brooks
IAPD individual key: 1260487

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
5C CAPITAL MANAGEMENT, LLC	Independent wealth	Apr 10, 2017	n/a	yes	WOODCLIFF LAKE, NJ	Current employment
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Sep 30, 2011	Sep 9, 2016	no	NEW YORK, NY\|SHORT HILLS, NJ	Previous registration
GERSTEIN FISHER	Former SEC adviser	Oct 28, 2009	Sep 20, 2011	no	NEW YORK, NY	Previous registration
FIRST ALLIED SECURITIES, INC.	Former SEC adviser	Aug 10, 2007	Oct 22, 2009	no	SAN DIEGO, CA\|NEW YORK, NY	Previous registration
WEALTH PARTNERS ADVISORS LLC	n/a	Jan 16, 2003	Oct 28, 2009	no	MOUNTAINSIDE, NJ	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
USAA FINANCIAL PLANNING SERVICES	5C CAPITAL MANAGEMENT, LLC	Sep 9, 2016	Apr 10, 2017	213	Firm change	Other
GERSTEIN FISHER	USAA FINANCIAL PLANNING SERVICES	Sep 20, 2011	Sep 30, 2011	10	Firm change	Other
WEALTH PARTNERS ADVISORS LLC	FIRST ALLIED SECURITIES, INC.	Oct 28, 2009	Aug 10, 2007	-810	Firm change after gap	Other
FIRST ALLIED SECURITIES, INC.	GERSTEIN FISHER	Oct 22, 2009	Oct 28, 2009	6	Firm change	Other

Relationships

Registered with (5)

→ 5C CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 10, 2017 to presentfactForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 30, 2011 to Sep 9, 2016factForm ADV
→ GERSTEIN FISHERRegistered adviserregistration: previous registration
Oct 28, 2009 to Sep 20, 2011factForm ADV
→ WEALTH PARTNERS ADVISORS LLCRegistered adviserregistration: previous registration
Jan 16, 2003 to Oct 28, 2009factForm ADV
→ FIRST ALLIED SECURITIES, INC.Registered adviserregistration: previous registration
Aug 10, 2007 to Oct 22, 2009factForm ADV

Dated events

No dated event names this entity yet.