DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

BROOKER WEALTH MANAGEMENT

JOHN W. BROOKER & CO., CPAS, PC, CRD 105437

OAKLAND, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66d64bab-096a-cd50-fab4-4863c3d8625c

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 10
On other graphs: 0
Observed: Feb 14, 2012 to Aug 19, 2026
33 observations

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

Firm class: independent wealth managerderivedprivate_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $136MItem 5.F on the latest filing (2026-08-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $136M
Private client RAUM: $101MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $27.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 145
Individual clients: 21
High net worth clients: 24
Custody, client assets: $14.8M
SEC number: 801-19247
CRD: 105437
Filings on the tape: 33
First filed: Feb 14, 2012
Latest filed: Aug 19, 2026
Organised: Corporation, CA
Website: brooker-cpa.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
SCOTT PATRICK KELLEY	Chartered Financial Consultant	OAKLAND, CA \| URBANDALE, IA \| San Ramon, CA	1	36	3	yes
SAMSON KAM LONG CHAN	Certified Financial Planner	OAKLAND, CA \| URBANDALE, IA \| San Ramon, CA	1	28	3	yes
ANDREW MICHAEL NEVIN	Chartered Financial Consultant	URBANDALE, IA \| San Ramon, CA \| OAKLAND, CA	1	27	3	yes
NOLAN MITCHELL PARKER	n/a	URBANDALE, IA \| OAKLAND, CA \| San Ramon, CA	1	11	1	yes
Kevin Yee	Certified Financial Planner	OAKLAND, CA \| SAN RAMON, CA	0	12	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
JAKUBOWITZ, LARRY, M.	President	D	yes	05/1990	Feb 14, 2012	Mar 12, 2024
WELLS, JOSEPH, ALBERT	PRINCIPAL, CHIEF COMPLIANCE OFFICER AND INVESTMENT STRATEGIST	C	yes	07/2015	Feb 7, 2017	Mar 12, 2024
WELLS, ROBERT, JOHN	PRINCIPAL AND INVESTMENT STRATEGIST	B	yes	01/2020	Feb 24, 2021	Mar 12, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
GRANT ITOKAZU	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 18, 2026	$136M	$136M	10	5	1	n/a	n/a
2024	Feb 25, 2025	$592M	$592M	8	7	0	n/a	n/a
2023	Mar 12, 2024	$563M	$563M	4	3	0	n/a	n/a
2022	Mar 2, 2023	$508M	$508M	4	3	0	n/a	n/a
2021	Feb 23, 2022	$567M	$567M	4	3	0	n/a	n/a
2020	Feb 24, 2021	$523M	$523M	4	3	0	n/a	n/a
2019	Mar 11, 2020	$479M	$479M	4	3	0	n/a	n/a
2018	Feb 15, 2019	$412M	$412M	3	2	0	n/a	n/a
2017	Mar 9, 2018	$414M	$414M	3	2	0	n/a	n/a
2016	Feb 7, 2017	$354M	$354M	3	2	n/a	n/a	n/a
2015	Jan 25, 2016	$337M	$337M	2	2	n/a	n/a	n/a
2014	Jan 15, 2015	$322M	$322M	2	2	n/a	n/a	n/a
2013	Feb 10, 2014	$306M	$306M	2	1	n/a	n/a	n/a
2012	Feb 1, 2013	$265M	$265M	2	1	n/a	n/a	n/a
2011	Feb 14, 2012	$236M	$236M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	20.0%	0	0	0	6	4

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$136M	$592M	-77.0%	$508M	-35.5%	10	8	1	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SELBY WEALTH MANAGEMENT	3	May 16, 2025	Mar 5, 2025	OAKLAND, CA	Team lift out	RIA to new firm	42.9%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LION STREET ADVISORS, LLC	4	Nov 3, 2025	Feb 21, 2025	SAN RAMON, CA	Team lift out	Ibd to RIA	3.1%

Relationships

Affiliated with (1)

← SELBY WEALTH MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Registered with (9)

← Kevin YeeAdvisorregistration: current employment
Dec 18, 2025 to presentfactForm ADV
← SCOTT PATRICK KELLEYAdvisorregistration: current employment
Feb 21, 2025 to presentfactForm ADV
← SAMSON KAM LONG CHANAdvisorregistration: current employment
Feb 21, 2025 to presentfactForm ADV
← ANDREW MICHAEL NEVINAdvisorregistration: current employment
Feb 21, 2025 to presentfactForm ADV
← NOLAN MITCHELL PARKERAdvisorregistration: current employment
Feb 21, 2025 to presentfactForm ADV
← Anthony SmithAdvisorregistration: previous registration
Aug 15, 2025 to Sep 19, 2025factForm ADV
← JOSEPH ALBERT WELLSAdvisorregistration: previous registration
Jan 15, 2015 to May 16, 2025factForm ADV
← ROBERT JOHN WELLSAdvisorregistration: previous registration
Jan 10, 2020 to May 16, 2025factForm ADV
← DANIEL KEITH BEATTYAdvisorregistration: previous registration
May 2, 2006 to May 16, 2025factForm ADV

Moved with (2)

→ SELBY WEALTH MANAGEMENTRegistered adviser3 advisors, team lift out, same day
May 16, 2025 to Mar 5, 2025factForm ADV
← LION STREET ADVISORS, LLCRegistered adviser4 advisors, team lift out, same day
Nov 3, 2025 to Feb 21, 2025factForm ADV

Controls (3)

← WELLS, JOSEPH, ALBERTOwnerPRINCIPAL, CHIEF COMPLIANCE OFFICER AND INVESTMENT STRATEGIST, ownership code C, individual
Feb 7, 2017 to Mar 12, 2024factForm ADV
← WELLS, ROBERT, JOHNOwnerPRINCIPAL AND INVESTMENT STRATEGIST, ownership code B, individual
Feb 24, 2021 to Mar 12, 2024factForm ADV
← JAKUBOWITZ, LARRY, M.OwnerPRESIDENT, ownership code D, individual
Feb 14, 2012 to Mar 12, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 18, 2026
Regulatory AUM changed
Brooker Wealth Management reported RAUM $136.4M, down 77% from $592.4M (2025-08-19 to 2026-02-18)
Form ADVobserved 5 days ago
$-456M
Occurred
Nov 3, 2025
Team lift-out
4 advisors left Lion Street Advisors, LLC (San Ramon, CA) for Brooker Wealth Management on the same day
Form ADVobserved 5 days ago
4 advisors
Occurred
Sep 19, 2025
Advisor changed firm
Anthony Smith left Brooker Wealth Management for Secure Investment Management, Llc (registered 2025-11-17)
Form ADVobserved 5 days ago
Occurred
May 16, 2025
Team lift-out
3 advisors left Brooker Wealth Management (Oakland, CA) for Selby Wealth Management on the same day
Form ADVobserved 5 days ago
3 advisors
Occurred
May 16, 2025
Advisor changed firm
Robert John Wells left Brooker Wealth Management for Selby Wealth Management (registered 2025-03-05)
Form ADVobserved 5 days ago
Occurred
May 16, 2025
Advisor changed firm
Joseph Albert Wells left Brooker Wealth Management for Selby Wealth Management (registered 2025-01-10)
Form ADVobserved 5 days ago
Occurred
May 16, 2025
Advisor changed firm
Daniel Keith Beatty left Brooker Wealth Management for Selby Wealth Management (registered 2025-03-05)
Form ADVobserved 5 days ago
Occurred
Jan 7, 2022
Control person left
Keith Daniel Beatty (Principal, Treasurer And Investment Strategist) no longer on Schedule A of Brooker Wealth Management (listed 2021-03-22, absent 2022-01-07)
Form ADVobserved 5 days ago
Occurred
Feb 24, 2021
Control person joined
John Robert Wells (Principal And Investment Strategist) appeared on Schedule A of Brooker Wealth Management
Form ADVobserved 5 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 16, 2026
date not stated
Kevin Yee no longer holds an investment adviser registration (last listed at Brooker Wealth Management on the 2026-09-15 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66d64bab-096a-cd50-fab4-4863c3d8625c
First observed: Feb 14, 2012
Last observed: Aug 19, 2026 32 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BROOKER WEALTH MANAGEMENT

JOHN W. BROOKER & CO., CPAS, PC, CRD 105437

OAKLAND, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66d64bab-096a-cd50-fab4-4863c3d8625c

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

SCOTT PATRICK KELLEY

Chartered Financial Consultant

OAKLAND, CA | URBANDALE, IA | San Ramon, CA

yes

SAMSON KAM LONG CHAN

Certified Financial Planner

OAKLAND, CA | URBANDALE, IA | San Ramon, CA

yes

ANDREW MICHAEL NEVIN

Chartered Financial Consultant

URBANDALE, IA | San Ramon, CA | OAKLAND, CA

yes

NOLAN MITCHELL PARKER

n/a

URBANDALE, IA | OAKLAND, CA | San Ramon, CA

yes

Kevin Yee

Certified Financial Planner

OAKLAND, CA | SAN RAMON, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JAKUBOWITZ, LARRY, M.

President

yes

05/1990

Feb 14, 2012

Mar 12, 2024

WELLS, JOSEPH, ALBERT

PRINCIPAL, CHIEF COMPLIANCE OFFICER AND INVESTMENT STRATEGIST

yes

07/2015

Feb 7, 2017

Mar 12, 2024

WELLS, ROBERT, JOHN

PRINCIPAL AND INVESTMENT STRATEGIST

yes

01/2020

Feb 24, 2021

Mar 12, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GRANT ITOKAZU

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 18, 2026

$136M

n/a

2024

Feb 25, 2025

$592M

n/a

2023

Mar 12, 2024

$563M

n/a

2022

Mar 2, 2023

$508M

n/a

2021

Feb 23, 2022

$567M

n/a

2020

Feb 24, 2021

$523M

n/a

2019

Mar 11, 2020

$479M

n/a

2018

Feb 15, 2019

$412M

n/a

2017

Mar 9, 2018

$414M

n/a

2016

Feb 7, 2017

$354M

n/a

2015

Jan 25, 2016

$337M

n/a

2014

Jan 15, 2015

$322M

n/a

2013

Feb 10, 2014

$306M

n/a

2012

Feb 1, 2013

$265M

n/a

2011

Feb 14, 2012

$236M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$136M

$592M

-77.0%

$508M

-35.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SELBY WEALTH MANAGEMENT

May 16, 2025

Mar 5, 2025

OAKLAND, CA

Team lift out

RIA to new firm

42.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LION STREET ADVISORS, LLC

Nov 3, 2025

Feb 21, 2025

SAN RAMON, CA

Team lift out

Ibd to RIA

3.1%