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
Holbrook Holdings, Inc.
Latest filing Jul 21, 2026
First filing on the tape Apr 6, 2016 · 15 filings
SEC status approved since Apr 8, 2016
RAUM
$3.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$3.8B as of Jul 21, 2026
Mar 28, 2017$237,051 then
HNW client RAUM$0 as of Jul 21, 2026
Mar 24, 2020$0 then
State-registered IARs (5.B.3)0 as of Jul 21, 2026
Mar 28, 20172 then
Employees (5.A)14 as of Jul 21, 2026
Mar 28, 20172 then
Private funds: no history
RAUM +64% over the last fiscal year+58% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.8B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- George Michael Burns · Chief Compliance Officer/Chief Operations Officercontrolsince 03/2016 · owns 25% to 50%
- Mcdougall Scott Carmack · President/Ceo/Portfolio Managercontrolsince 01/2016 · owns 50% to 75%
- Lee Brian Zeck · President Of Salescontrolsince 06/2019 · owns 10% to 25%
- Calvin Hessel Baker · Minority Ownersince 06/2019 · owns 5% to 10%
- Henry Steven Burns · Minority Ownersince 06/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
- Oxford, NC1 employees
- Portland, OR1 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 3Feb 24, 2026 to Jul 21, 2026
- Accounts · 2 to 3Jan 5, 2026 to Feb 24, 2026
- Discretionary RAUM · $2.3B to $3.8BJan 5, 2026 to Feb 24, 2026
- RAUM · $2.3B to $3.8BJan 5, 2026 to Feb 24, 2026
- Advisory employees · 2 to 3Feb 15, 2024 to Feb 3, 2025
- BD registered reps · 4 to 9Feb 15, 2024 to Feb 3, 2025
- Pooled vehicle clients · unset to 0.0Feb 15, 2024 to Feb 3, 2025
- Employees · 10 to 14Feb 15, 2024 to Feb 3, 2025
- Financial planning clients · unset to Feb 15, 2024 to Feb 3, 2025
- State-registered IARs · 2 to 0Feb 15, 2024 to Feb 3, 2025
- Other offices · 3 to 4Feb 15, 2024 to Feb 3, 2025
- Discretionary RAUM · $1.5B to $2.3BFeb 15, 2024 to Feb 3, 2025
- RAUM · $1.5B to $2.3BFeb 15, 2024 to Feb 3, 2025
- Accounts · 1 to 2Mar 23, 2023 to Feb 15, 2024
- Charity clients · unset to 0.0Mar 23, 2023 to Feb 15, 2024
- Corporate clients · unset to 0.0Mar 23, 2023 to Feb 15, 2024
- HNW clients · unset to 0.0Mar 23, 2023 to Feb 15, 2024
- Individual clients · unset to 0.0Mar 23, 2023 to Feb 15, 2024
- Pension plan clients · unset to 0.0Mar 23, 2023 to Feb 15, 2024
- Employees · 7 to 10Mar 23, 2023 to Feb 15, 2024
- State-registered IARs · 4 to 2Mar 23, 2023 to Feb 15, 2024
- Other offices · 2 to 3Mar 23, 2023 to Feb 15, 2024
- Discretionary RAUM · $955M to $1.5BMar 23, 2023 to Feb 15, 2024
- RAUM · $955M to $1.5BMar 23, 2023 to Feb 15, 2024
- BD registered reps · 2 to 4Mar 28, 2022 to Mar 23, 2023
- Employees · 5 to 7Mar 28, 2022 to Mar 23, 2023
- State-registered IARs · 2 to 4Mar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $671M to $955MMar 28, 2022 to Mar 23, 2023
- RAUM · $671M to $955MMar 28, 2022 to Mar 23, 2023
- Advisory employees · 1 to 2Feb 23, 2021 to Mar 28, 2022
- Employees · 4 to 5Feb 23, 2021 to Mar 28, 2022
- HQ city · unset to ATLANTAFeb 23, 2021 to Mar 28, 2022
- HQ state · unset to GAFeb 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $193M to $671MFeb 23, 2021 to Mar 28, 2022
- RAUM · $193M to $671MFeb 23, 2021 to Mar 28, 2022
- Advisory employees · 2 to 1Mar 24, 2020 to Feb 23, 2021
- BD registered reps · 1 to 2Mar 24, 2020 to Feb 23, 2021
- Employees · 3 to 4Mar 24, 2020 to Feb 23, 2021
- HQ city · PORTLAND to unsetMar 24, 2020 to Feb 23, 2021
- HQ state · OR to unsetMar 24, 2020 to Feb 23, 2021
Signals
7 dated events
- Holbrook Holdings, Inc. reported RAUM $3.8B, up 64% from $2.3B (2026-01-05 to 2026-02-24)Feb 24, 2026 · RAUM change · derived
- Holbrook Holdings, Inc. reported RAUM $2.3B, up 49% from $1.5B (2024-02-15 to 2025-02-03)Feb 3, 2025 · RAUM change · derived
- Holbrook Holdings, Inc. reported RAUM $1.5B, up 62% from $954.7M (2023-03-23 to 2024-02-15)Feb 15, 2024 · RAUM change · derived
- Holbrook Holdings, Inc. reported RAUM $954.7M, up 42% from $671.1M (2022-03-28 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- Holbrook Holdings, Inc. reported RAUM $671.1M, up 247% from $193.2M (2021-02-23 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Lee Brian Zeck (President Of Sales) appeared on Schedule A of Holbrook Holdings, Inc.Mar 24, 2020 · Control person joined · fact
- Holbrook Holdings, Inc. filed its initial SEC registration (Form ADV)Apr 6, 2016 · 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
- Firm profile
- linkedin.com/company/holbrook-holdings-ltdreportedpublic record, Form ADV, Sep 18, 2026
- Website
- holbrookfunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 678-400-3980reportedpublic record, Form ADV, Jul 21, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026