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
Tracey J Breaux
Certified Financial Planner
Feed of 09/15/2026
Also filed as Tracey Breaux
At current firm
0 y
since Aug 20, 2026
In the industry
23 y
since Oct 28, 2002 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Creative Planning independent RIA currentsince Aug 20, 2026 · Lafayette, La
- Ernst & Young Investment Advisers Llp no RAUMSep 22, 2022 to Aug 10, 2026 · Lafayette, La
- Fruitful independent RIASep 16, 2022 to Sep 20, 2022 · New York, Ny
- Origin Investment Advisory LLC independent RIAJun 24, 2021 to Mar 24, 2022 · Eunice, La
- Charles Schwab & Co., Inc. national BDMay 2, 2014 to Apr 12, 2019 · New York City, Ny
- Usaa Financial Planning Services formerSep 2, 2011 to Oct 10, 2012 · New York, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 24, 2009 to Feb 1, 2011 · New York, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 7, 2004 to Apr 6, 2009 · Chicago, Il
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 21, 2003 to Mar 15, 2004 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- Ernst & Young Investment Advisers Llp to Creative Planningleft Aug 10, 2026, registered Aug 20, 2026 (10 days) · Other
- Fruitful to Ernst & Young Investment Advisers Llpleft Sep 20, 2022, registered Sep 22, 2022 (2 days) · Other
- Origin Investment Advisory LLC to Fruitfulleft Mar 24, 2022, registered Sep 16, 2022 (176 days) · Other
- Charles Schwab & Co., Inc. to Origin Investment Advisory LLCleft Apr 12, 2019, registered Jun 24, 2021 (804 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Usaa Financial Planning Services to Charles Schwab & Co., Inc.left Oct 10, 2012, registered May 2, 2014 (569 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Usaa Financial Planning Servicesleft Feb 1, 2011, registered Sep 2, 2011 (213 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
- Tracey J Breaux left Ernst & Young Investment Advisers Llp for Creative Planning (registered 2026-08-20)Aug 10, 2026 · Advisor changed firm · fact
- Tracey J Breaux left Fruitful for Ernst & Young Investment Advisers Llp (registered 2022-09-22)Sep 20, 2022 · Advisor changed firm · fact
- Tracey J Breaux left Origin Investment Advisory Llc for Fruitful (registered 2022-09-16)Mar 24, 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address