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Spielberger & Brooks
Founded in 1998 by Mark Spielberger, Spielberger & Brooks emerged from the private-banking unit at Chase Manhattan, where Spielberger directed a team managing...
Spielberger & Brooks
Founded in 1998 by Mark Spielberger, Spielberger & Brooks emerged from the private-banking unit at Chase Manhattan, where Spielberger directed a team managing over $500 million in the bank's Investment Allocation Program. Partner Craig Brooks joined after running his own consultancy, bringing an operating background that supplements the firm's investment architecture. The firm structures its client relationships around five pillars of financial planning — investments, insurance, retirement, income tax, and estate transfer. The firm anchors portfolios in a quantitative asset-allocation framework that draws on modern portfolio theory, tailoring exposures to each family's return objectives and liquidity needs. Asset-class coverage includes alternative investments, concentrated-stock strategies, and insurance products, with performance reporting handled in-house. The model is deliberately open-architecture; it does not manufacture proprietary funds. Geographic focus sits on families and trusts in the New York metro area, though the firm does not publicly disclose an allocation to non-US markets. Spielberger & Brooks operates from a single office in Jericho, New York, and characterizes its client base as approximately 100 families of exceptional wealth. The firm discloses a tiered advisory fee schedule that scales from 0.85% on balances between $1 million and $2 million down to 0.20% above $9 million, a structure that signals a predominantly high-net-worth book. No separate philanthropic vehicle, real-asset subsidiary, or club-membership program has been publicly identified. No dated operational event within the last 24 months could be independently verified that meaningfully alters the firm's posture. The distinguishing architecture is the hybrid it claims on its own site: the personal service model of a single-family office delivered through the open-architecture resources of an institutional consulting firm. In practice, that means the firm sources third-party funds and direct alternatives while administering integrated financial planning for each household, rather than operating a proprietary general-partner platform or a dedicated co-investment vehicle.
General information
Firm type
Multi Family Office
Year founded
1998
AUM
Undisclosed
Location
Region
North America
Country
United States
City
Jericho
Corporate office
7600 Jericho Turnpike, Suite 305, Jericho, NY 11797, United States
Principals
Mark Spielberger
President & CEO
Craig Brooks
Managing Partner
Sector focus
Frequently asked questions
Who runs investment decisions at Spielberger & Brooks?
President and CEO Mark Spielberger leads the firm's investment policy, building on the institutional asset-allocation framework he developed during more than 15 years at Chase Manhattan's private bank. Managing Partner Craig Brooks oversees client relationships and planning integration. The firm does not publicly name a separate chief investment officer, which suggests portfolio construction and manager selection run through the two named principals.
Is Spielberger & Brooks structured as a traditional RIA or does it operate more like a family office?
The firm explicitly positions itself as a hybrid: it is a registered investment adviser that charges asset-based fees, yet it describes its service model as combining the concierge approach of a family office with the resources of an institutional consulting firm. It serves approximately 100 families, which is a scale more typical of a multi-family office than a single-family operation.
Does Spielberger & Brooks make direct investments or fund commitments?
The firm runs an open-architecture platform, meaning it selects third-party managers and products rather than managing proprietary commingled funds. Its published materials cite expertise in alternative investments and concentrated-wealth strategies, but no specific fund commitments, co-investments, or direct deals are named publicly.
Which asset classes does Spielberger & Brooks allocate to?
The firm uses a quantitative asset-allocation model rooted in modern portfolio theory. Publicly cited areas include alternative investments, concentrated-stock management, insurance solutions, and traditional equity and fixed-income exposures. No sector or strategy is explicitly excluded in publicly available disclosures.
What is Spielberger & Brooks's known posture on co-investing alongside external GPs?
No public information confirms whether the firm facilitates co-investment rights or side letters alongside the external managers it selects. Its stated model of open-architecture consulting suggests it primarily allocates to commingled vehicles, but the firm's expertise in alternatives leaves room for bespoke arrangements that have not been disclosed.
How does the firm bill for its services?
Spielberger & Brooks publishes a tiered, asset-based fee schedule. The annual percentage ranges from 0.85% on household balances between $1 million and $2 million down to 0.20% on assets above $9 million. The firm also notes that a negotiated fee may be charged for standalone financial-planning engagements and that performance-based fees are available upon request.
Where does the underlying client wealth come from?
The firm does not disclose a unified source of wealth for its client base. Mark Spielberger's career at Chase Manhattan and earlier roles at Shearson Loeb Rhoades suggest the original network was built around private-banking relationships with high-net-worth individuals, trusts, and corporations, but no dominant family fortune or industry concentration has been identified publicly.
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
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