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.

Registered advisor

Breanne Nicole Polonia

Kestra Private Wealth Services, LLCBD affiliatedDallas, Tx dual registrantIAPD 4417531

Feed of 09/15/2026

Also filed as Breezy Polonia

At current firm

1 y

since Oct 2, 2024

In the industry

19 y

since Jun 22, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Kestra Private Wealth Services, LLC BD affiliated current
since Oct 2, 2024 · Dallas, Tx
Diversify Wealth Management, LLC independent RIA
Mar 12, 2024 to Sep 27, 2024 · South Jordan, Ut
Diversify Advisory Services, LLC BD affiliated
Dec 7, 2023 to Sep 27, 2024 · South Jordan, Ut
Dfpg Investments, LLC former
Dec 1, 2022 to Jan 2, 2024 · Sandy, Ut
Surevest Private Wealth former
Jan 16, 2020 to Dec 12, 2022 · San Diego, Ca
Surevest Wealth Management former
Sep 10, 2018 to Feb 7, 2020 · San Diego, Ca
Wells Fargo Advisors wirehouse
Jan 30, 2013 to Sep 11, 2018 · San Diego, Ca
Edward Jones national BD
Jul 17, 2007 to Jan 31, 2013 · Del Mar, Ca

Moves

a registration end followed by a registration begin elsewhere

Diversify Wealth Management, LLC to Kestra Private Wealth Services, LLC
left Sep 27, 2024, registered Oct 2, 2024 (5 days) · RIA to affiliated broker-dealer or bank
Diversify Advisory Services, LLC to Diversify Wealth Management, LLC
left Sep 27, 2024, registered Mar 12, 2024 (-199 days) · Affiliated broker-dealer or bank to independent RIA
Dfpg Investments, LLC to Diversify Advisory Services, LLC
left Jan 2, 2024, registered Dec 7, 2023 (-26 days) · RIA to affiliated broker-dealer or bank · moved with a team
Surevest Private Wealth to Dfpg Investments, LLC
left Dec 12, 2022, registered Dec 1, 2022 (-11 days) · RIA to RIA
Surevest Wealth Management to Surevest Private Wealth
left Feb 7, 2020, registered Jan 16, 2020 (-22 days) · RIA to RIA · moved with a team
Wells Fargo Advisors to Surevest Wealth Management
left Sep 11, 2018, registered Sep 10, 2018 (-1 days) · Wirehouse to independent RIA
Edward Jones to Wells Fargo Advisors
left Jan 31, 2013, registered Jan 30, 2013 (-1 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Breanne Nicole Polonia left Diversify Wealth Management, Llc for Kestra Private Wealth Services, Llc (registered 2024-10-02)
Sep 27, 2024 · Advisor changed firm · fact
Breanne Nicole Polonia left Diversify Advisory Services, Llc for Diversify Wealth Management, Llc (registered 2024-03-12)
Sep 27, 2024 · Advisor changed firm · fact
Breanne Nicole Polonia left Dfpg Investments, Llc for Diversify Advisory Services, Llc (registered 2023-12-07)
Jan 2, 2024 · Advisor changed firm · fact
Breanne Nicole Polonia left Surevest Private Wealth for Dfpg Investments, Llc (registered 2022-12-01)
Dec 12, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address