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Michael S. Brooks

ATIVO CAPITAL MANAGEMENT
Chicago, IL 60602-2493
Some features on this profile are disabled
CRD#: 5218544
MB

Professional summary

Michael Stanley Brooks, who also goes by Mike Brooks, is a registered financial advisor currently at ATIVO CAPITAL MANAGEMENT, LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mike Brooks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stanley Brooks's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 19, 2006 - Present

ATIVO CAPITAL MANAGEMENT, LLC

Office #1: 120 N Lasalle Street Suite 1160, Chicago, IL 60602-2493
RIA
CRD#: 125303
Chicago, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
ATIVO CAPITAL MANAGEMENT, LLC
ATIVO CAPITAL MANAGEMENT, LLC | CALLARD ASSET MANAGEMENT, LLC | CALLARD ASSET MANAGEMENT

CRD#: 125303 / SEC#: 801-65975

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(9/19/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/2006
Uniform Investment Adviser Law Examination

Current Firm

AC
ATIVO CAPITAL MANAGEMENT, LLC
ATIVO CAPITAL MANAGEMENT, LLC | CALLARD ASSET MANAGEMENT, LLC | CALLARD ASSET MANAGEMENT

CRD#: 125303 / SEC#: 801-65975

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
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Contact information

Main Address
120 N Lasalle Street Suite 1160, Chicago, IL 60602-2493
Mailing Address
Phone number
(312) 263-7600
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ATIVO CAPITAL MGMT - ADV-PART 2 BROCHURE (5/21/2025)

Regulatory assets under management

Total Number of Accounts21
AUM (Assets Under Management)$ 999,874,898

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ATIVO CAPITAL MANAGEMENT, LLC

CRD#: 125303Chicago, IL 60602-2493

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