DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
One Hopper Asset Management
Legal name Brooks, Wayne I
Latest filing Mar 31, 2026
First filing on the tape Jun 13, 2022 · 6 filings
SEC status approved since Jul 13, 2022
RAUM
$57.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$49.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$28.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$57.5M as of Mar 31, 2026
Mar 7, 2023$36.4M then
HNW client RAUM$29.5M as of Mar 31, 2026
Mar 7, 2023$14.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 7, 20232 then
Employees (5.A)3 as of Mar 31, 2026
Mar 7, 20232 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $28.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $464,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$29.5M51%
- Individuals$20.2M35%
- Charitable organizations$7.9M14%
- Individual clients
- 57reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 124reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Wayne Irving Brooks | Utica, Ny | Apr 22, 2021 | 29 y | 0 |
| Joseph Dominick Speciale | Utica, Ny | Jan 6, 2022 | 28 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Irving Wayne Brooks · Owner/ Chief Compliance Officercontrolsince 08/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list One Hopper Asset Management as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Utica, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 113 to 124Nov 24, 2025 to Mar 31, 2026
- HNW clients · 12 to 8Nov 24, 2025 to Mar 31, 2026
- Individual clients · 61 to 57Nov 24, 2025 to Mar 31, 2026
- Assets in custody · unset to 8223795.0Nov 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $51.7M to $57.5MNov 24, 2025 to Mar 31, 2026
- HNW RAUM · $24.8M to $29.5MNov 24, 2025 to Mar 31, 2026
- Individual RAUM · $19.0M to $20.2MNov 24, 2025 to Mar 31, 2026
- RAUM · $51.7M to $57.5MNov 24, 2025 to Mar 31, 2026
- Accounts · 94 to 113Mar 15, 2024 to Mar 3, 2025
- HNW clients · 8 to 12Mar 15, 2024 to Mar 3, 2025
- Employees · 2 to 3Mar 15, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Mar 15, 2024 to Mar 3, 2025
- Discretionary RAUM · $40.9M to $51.7MMar 15, 2024 to Mar 3, 2025
- HNW RAUM · $16.9M to $24.8MMar 15, 2024 to Mar 3, 2025
- Individual RAUM · $15.8M to $19.0MMar 15, 2024 to Mar 3, 2025
- RAUM · $40.9M to $51.7MMar 15, 2024 to Mar 3, 2025
- Accounts · 83 to 94Mar 7, 2023 to Mar 15, 2024
- HNW clients · 9 to 8Mar 7, 2023 to Mar 15, 2024
- Individual clients · 55 to 61Mar 7, 2023 to Mar 15, 2024
- Discretionary RAUM · $36.4M to $40.9MMar 7, 2023 to Mar 15, 2024
- HNW RAUM · $14.7M to $16.9MMar 7, 2023 to Mar 15, 2024
- Individual RAUM · $13.7M to $15.8MMar 7, 2023 to Mar 15, 2024
- RAUM · $36.4M to $40.9MMar 7, 2023 to Mar 15, 2024
- Accounts · 81 to 83Jun 13, 2022 to Mar 7, 2023
- BD registered reps · 1 to 2Jun 13, 2022 to Mar 7, 2023
- HNW clients · 6 to 9Jun 13, 2022 to Mar 7, 2023
- Individual clients · 54 to 55Jun 13, 2022 to Mar 7, 2023
- Discretionary RAUM · $36.4M to $36.4MJun 13, 2022 to Mar 7, 2023
- HNW RAUM · $12.4M to $14.7MJun 13, 2022 to Mar 7, 2023
- Individual RAUM · $14.6M to $13.7MJun 13, 2022 to Mar 7, 2023
- RAUM · $36.4M to $36.4MJun 13, 2022 to Mar 7, 2023
Signals
1 dated events
- One Hopper Asset Management filed its initial SEC registration (Form ADV)Jun 13, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 315-734-1410reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $28.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026