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RIA / WealthAdvisorCertified Financial Planner14 years in industry

BRETT THEODORE GRAU

Advisor at ROOT FINANCIAL PARTNERS

AUSTIN, TX | St. Englewood, CO

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Search this name across graphsid dfx:ria:3ab7ab92-2d1d-32ca-fd3b-1d92c8c718a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 2, 2011 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: ROOT FINANCIAL PARTNERS
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: Nov 2, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 2, 2011
First registration: Dec 2, 2011
Dual registered: no
Other names: BRETT T GRAN|BRETT T GRAU
IAPD individual key: 5515351

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
ROOT FINANCIAL PARTNERS	Independent wealth	Oct 20, 2025	n/a	yes	AUSTIN, TX\|St. Englewood, CO	Current employment
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Apr 13, 2022	Nov 5, 2025	no	Lone Tree, CO	Previous registration
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Oct 13, 2016	Dec 31, 2021	no	LONE TREE, CO\|Lone Tree, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 19, 2013	Apr 13, 2022	no	ENGLEWOOD, CO\|Lone Tree, CO\|Lone Tree, CO\|Phoenix, AZ\|Lone Tree, CO\|Denver, CO\|Lone Tree, CO	Previous registration
PERSONAL CAPITAL ADVISORS CORPORATION	Former SEC adviser	Oct 17, 2013	Dec 10, 2013	no	DENVER, CO	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Dec 2, 2011	Aug 13, 2013	no	Orlando, FL\|ENGLEWOOD, CO	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
SCHWAB WEALTH ADVISORY, INC.	ROOT FINANCIAL PARTNERS	Nov 5, 2025	Oct 20, 2025	-16	Firm change	Other
CHARLES SCHWAB & CO., INC.	SCHWAB WEALTH ADVISORY, INC.	Apr 13, 2022	Oct 13, 2016	-2,008	Channel change	Other
PERSONAL CAPITAL ADVISORS CORPORATION	CHARLES SCHWAB & CO., INC.	Dec 10, 2013	Dec 19, 2013	9	Firm change	Other
CHARLES SCHWAB & CO., INC.	PERSONAL CAPITAL ADVISORS CORPORATION	Aug 13, 2013	Oct 17, 2013	65	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
5393:159035:CO:2022-04-13	Apr 13, 2022	Oct 13, 2016	LONE TREE, CO	Firm change after gap

Relationships

Registered with (4)

→ ROOT FINANCIAL PARTNERSRegistered adviserregistration: current employment
Oct 20, 2025 to presentfactForm ADV
→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: previous registration
Apr 13, 2022 to Nov 5, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Dec 19, 2013 to Apr 13, 2022factForm ADV
→ PERSONAL CAPITAL ADVISORS CORPORATIONRegistered adviserregistration: previous registration
Oct 17, 2013 to Dec 10, 2013factForm ADV

Dated events

Occurred
Nov 5, 2025
Advisor changed firm
Brett Theodore Grau left Schwab Wealth Advisory, Inc. for Root Financial Partners (registered 2025-10-20)
Form ADVobserved 5 days ago