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.

SEC-registered adviser

Brooker Wealth Management

Independent wealth managerOakland, CaliforniaCRD 105437SEC 801-19247websiteIAPD
Legal name John W. Brooker & Co., Cpas, Pc
Latest filing Aug 19, 2026
First filing on the tape Feb 14, 2012 · 33 filings
SEC status approved since Jul 15, 1983
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$101M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$27.3M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$136M as of Aug 19, 2026
Feb 14, 2012$236M then
HNW client RAUM$89.9M as of Aug 19, 2026
Mar 9, 2018$261M then
State-registered IARs (5.B.3)5 as of Aug 19, 2026
Feb 14, 20120 then
Employees (5.A)10 as of Aug 19, 2026
Feb 1, 20132 then
Private funds: no history
RAUM -77% over the last fiscal year-35% a year over threeIARs 7 to 5offices 0 to 1
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
11derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$940,574derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-77%derivedbetween the last two annual amendments
Advisor growth, one year
-29%derivedItem 5.B.3 between annual amendments
Client growth, one year
-79%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$14.8M, 15 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$89.9M66%
  • Pension and profit-sharing plans$35.0M26%
  • Individuals$11.4M8.4%
Individual clients
21reported
HNW clients
24reported
Pension plan clients
12reported
Charitable clients
0reported
Accounts
145reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$14.8M for 15 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Samson Kam Long ChanCertified Financial PlannerOakland, Ca Feb 21, 202528 y3
Nolan Mitchell ParkerUrbandale, Ia Feb 21, 202511 y1
Scott Patrick KelleyChartered Financial ConsultantOakland, Ca Feb 21, 202536 y3
Andrew Michael NevinChartered Financial ConsultantUrbandale, Ia Feb 21, 202527 y3
Kevin YeeCertified Financial PlannerOakland, Ca Dec 18, 202512 y2
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M. Larry Jakubowitz · Presidentcontrol
    since 05/1990 · owns 50% to 75%
  • Albert Joseph Wells · Principal, Chief Compliance Officer And Investment Strategistcontrol
    since 07/2015 · owns 25% to 50%
  • John Robert Wells · Principal And Investment Strategistcontrol
    since 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
  • Grant Itokazu
    LP sponsory
Advisers that list Brooker Wealth Management as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Oakland, Ca · principal401
San Ramon, Ca400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
  • client count collapseChange between filings · filing Feb 18, 2026
    individual and HNW clients (Item 5.D) moved from 210.0 to 45.0 (-79.0%) between the annual amendments of 2025-02-25 and 2026-02-18; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,309) · 0.2% percentile
  • account count collapseChange between filings · filing Feb 18, 2026
    accounts (Item 5.F.2.f) moved from 580.0 to 145.0 (-75.0%) between the annual amendments of 2025-02-25 and 2026-02-18; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,687) · 0.6% percentile
  • RAUM down 50 %Change between filings · filing Feb 18, 2026
    RAUM (Item 5.F) moved from $592,401,793 to $136,383,187 (-77.0%) between the annual amendments of 2025-02-25 and 2026-02-18; the peer median change was +15.0% (4550 comparable advisers, 0.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (4,550) · 0.1% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 580 to 145
    Aug 19, 2025 to Feb 18, 2026
  • Advisory employees · 4 to 5
    Aug 19, 2025 to Feb 18, 2026
  • BD registered reps · 4 to 6
    Aug 19, 2025 to Feb 18, 2026
  • Charity clients · 3 to 0
    Aug 19, 2025 to Feb 18, 2026
  • HNW clients · 124 to 24
    Aug 19, 2025 to Feb 18, 2026
  • Individual clients · 86 to 21
    Aug 19, 2025 to Feb 18, 2026
  • Pension plan clients · 44 to 12
    Aug 19, 2025 to Feb 18, 2026
  • Assets in custody · $9.6M to $14.8M
    Aug 19, 2025 to Feb 18, 2026
  • Employees · 8 to 10
    Aug 19, 2025 to Feb 18, 2026
  • Insurance-licensed employees · 4 to 7
    Aug 19, 2025 to Feb 18, 2026
  • Financial planning clients · 101-250 to 1-10
    Aug 19, 2025 to Feb 18, 2026
  • State-registered IARs · 4 to 5
    Aug 19, 2025 to Feb 18, 2026
  • Other offices · 0 to 1
    Aug 19, 2025 to Feb 18, 2026
  • Discretionary RAUM · $592M to $136M
    Aug 19, 2025 to Feb 18, 2026
  • HNW RAUM · $433M to $89.9M
    Aug 19, 2025 to Feb 18, 2026
  • Individual RAUM · $35.0M to $11.4M
    Aug 19, 2025 to Feb 18, 2026
  • Pension RAUM · $111M to $35.0M
    Aug 19, 2025 to Feb 18, 2026
  • RAUM · $592M to $136M
    Aug 19, 2025 to Feb 18, 2026
  • Advisory employees · 7 to 4
    Feb 25, 2025 to May 16, 2025
  • Financial planning clients · 101-250 to 101-250
    Feb 25, 2025 to May 16, 2025
  • State-registered IARs · 7 to 4
    Feb 25, 2025 to May 16, 2025
  • Accounts · 570 to 580
    Mar 12, 2024 to Feb 25, 2025
  • Advisory employees · 3 to 7
    Mar 12, 2024 to Feb 25, 2025
  • BD registered reps · 0 to 4
    Mar 12, 2024 to Feb 25, 2025
  • HNW clients · 130 to 124
    Mar 12, 2024 to Feb 25, 2025
  • Individual clients · 79 to 86
    Mar 12, 2024 to Feb 25, 2025
  • Pension plan clients · 48 to 44
    Mar 12, 2024 to Feb 25, 2025
  • Assets in custody · $10.3M to $9.6M
    Mar 12, 2024 to Feb 25, 2025
  • Employees · 4 to 8
    Mar 12, 2024 to Feb 25, 2025
  • Insurance-licensed employees · 0 to 4
    Mar 12, 2024 to Feb 25, 2025
  • State-registered IARs · 3 to 7
    Mar 12, 2024 to Feb 25, 2025
  • Discretionary RAUM · $563M to $592M
    Mar 12, 2024 to Feb 25, 2025
  • HNW RAUM · $411M to $433M
    Mar 12, 2024 to Feb 25, 2025
  • Individual RAUM · $32.2M to $35.0M
    Mar 12, 2024 to Feb 25, 2025
  • Pension RAUM · $108M to $111M
    Mar 12, 2024 to Feb 25, 2025
  • RAUM · $563M to $592M
    Mar 12, 2024 to Feb 25, 2025
  • Individual clients · 87 to 79
    Mar 2, 2023 to Mar 12, 2024
  • Pension plan clients · 51 to 48
    Mar 2, 2023 to Mar 12, 2024
  • Assets in custody · $9.6M to $10.3M
    Mar 2, 2023 to Mar 12, 2024
  • Discretionary RAUM · $508M to $563M
    Mar 2, 2023 to Mar 12, 2024
Signals
10 dated events
  • Kevin Yee no longer holds an investment adviser registration (last listed at Brooker Wealth Management on the 2026-09-15 feed)
    Sep 15, 2026 · Advisor registration ended · derived
  • Brooker Wealth Management reported RAUM $136.4M, down 77% from $592.4M (2025-08-19 to 2026-02-18)
    Feb 18, 2026 · RAUM change · derived
  • 4 advisors left Lion Street Advisors, LLC (San Ramon, CA) for Brooker Wealth Management on the same day
    Nov 3, 2025 · Team lift-out · derived
  • Anthony Smith left Brooker Wealth Management for Secure Investment Management, Llc (registered 2025-11-17)
    Sep 19, 2025 · Advisor changed firm · fact
  • Robert John Wells left Brooker Wealth Management for Selby Wealth Management (registered 2025-03-05)
    May 16, 2025 · Advisor changed firm · fact
  • Joseph Albert Wells left Brooker Wealth Management for Selby Wealth Management (registered 2025-01-10)
    May 16, 2025 · Advisor changed firm · fact
  • Daniel Keith Beatty left Brooker Wealth Management for Selby Wealth Management (registered 2025-03-05)
    May 16, 2025 · Advisor changed firm · fact
  • 3 advisors left Brooker Wealth Management (Oakland, CA) for Selby Wealth Management on the same day
    May 16, 2025 · Team lift-out · derived
  • 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)
    Jan 7, 2022 · Control person left · inference
  • John Robert Wells (Principal And Investment Strategist) appeared on Schedule A of Brooker Wealth Management
    Feb 24, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business email
general@brooker-cpa.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email
ljakubowitz@brooker-cpa.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email
jwells@brooker-cpa.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email
general.pbp@brooker-cpa.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
510-636-2470reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
510-632-0238reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
510-635-6165reportedpublished by the firm, firm site, Sep 16, 2026
Website
brooker-cpa.com/wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
510-638-1815reportedpublic record, Form ADV, Aug 19, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$27.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026