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

Beta Wealth Group, Inc

Independent wealth managerSan Diego, CaliforniaCRD 165224SEC 801-77060websiteIAPD
Latest filing Jun 4, 2026
First filing on the tape Aug 15, 2012 · 30 filings
SEC status approved since Aug 24, 2012
RAUM
$460M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$452M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$460M as of Jun 4, 2026
Jan 28, 2013$140M then
HNW client RAUM$388M as of Jun 4, 2026
Mar 5, 2018$226M then
State-registered IARs (5.B.3)3 as of Jun 4, 2026
Jan 28, 20132 then
Employees (5.A)3 as of Jun 4, 2026
Jan 28, 20134 then
Private funds: no history
RAUM +7.3% over the last fiscal year+8.3% a year over threeIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Jun 4, 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
RAUM per advisor
$153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
126derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$59.9MreportedItem 5.I
Custody
$55.0M, 93 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$388M84%
  • Individuals$64.2M14%
  • Pension and profit-sharing plans$7.6M1.6%
  • Charitable organizations$858,5990.2%
Individual clients
214reported
HNW clients
164reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
383reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$55.0M for 93 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Jodi Trabbic VleckCertified Financial PlannerSan Diego, Ca Sep 7, 201226 y3
Romy Michele BrownSan Diego, CaMay 2, 201826 y4
Braxton James LeichtPark City, UtJan 18, 202414 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michele Romy Brown · Chief Compliance Officer & Chief Operations Officer/Managing Partnercontrol
    since 01/2021 · owns less than 5%
  • Trabbic Jodi Vleck · Presidentcontrol
    since 12/2009 · owns 75% or more
  • Edward Michael Vleck · Owner
    since 12/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Park City, Ut200
San Diego, Ca · principal200
Offices
Schedule D 1.F, the 25 largest
  • , 2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • very high RAUM per advisorStatic outlier · filing Jun 4, 2026
    RAUM per registered advisor of $153,418,166 against a peer median of $55,716,044 (3252 comparable advisers, 99.0th percentile, 3.4 robust deviations)
    peers: independent wealth managers, $100M to $500M (3,252) · 99% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Other offices · 1 to 2
    Mar 27, 2026 to Jun 4, 2026
  • Accounts · 430 to 383
    Jul 15, 2025 to Mar 27, 2026
  • Advisory employees · 4 to 3
    Jul 15, 2025 to Mar 27, 2026
  • HNW clients · 167 to 164
    Jul 15, 2025 to Mar 27, 2026
  • Individual clients · 257 to 214
    Jul 15, 2025 to Mar 27, 2026
  • Assets in custody · $35.5M to $55.0M
    Jul 15, 2025 to Mar 27, 2026
  • Employees · 4 to 3
    Jul 15, 2025 to Mar 27, 2026
  • Discretionary RAUM · $429M to $460M
    Jul 15, 2025 to Mar 27, 2026
  • HNW RAUM · $348M to $388M
    Jul 15, 2025 to Mar 27, 2026
  • Individual RAUM · $68.5M to $64.2M
    Jul 15, 2025 to Mar 27, 2026
  • Pension RAUM · $5.8M to $7.6M
    Jul 15, 2025 to Mar 27, 2026
  • RAUM · $429M to $460M
    Jul 15, 2025 to Mar 27, 2026
  • Related insurance company · false to true
    Jul 15, 2025 to Mar 27, 2026
  • Financial planning clients · 0 to 0
    Mar 26, 2025 to Jul 15, 2025
  • Accounts · 429 to 430
    Mar 26, 2024 to Mar 26, 2025
  • Advisory employees · 3 to 4
    Mar 26, 2024 to Mar 26, 2025
  • HNW clients · 171 to 167
    Mar 26, 2024 to Mar 26, 2025
  • Individual clients · 252 to 257
    Mar 26, 2024 to Mar 26, 2025
  • Assets in custody · $34.8M to $35.5M
    Mar 26, 2024 to Mar 26, 2025
  • Employees · 3 to 4
    Mar 26, 2024 to Mar 26, 2025
  • Discretionary RAUM · $399M to $429M
    Mar 26, 2024 to Mar 26, 2025
  • HNW RAUM · $321M to $348M
    Mar 26, 2024 to Mar 26, 2025
  • Individual RAUM · $67.1M to $68.5M
    Mar 26, 2024 to Mar 26, 2025
  • Pension RAUM · $4.7M to $5.8M
    Mar 26, 2024 to Mar 26, 2025
  • RAUM · $399M to $429M
    Mar 26, 2024 to Mar 26, 2025
  • Individual clients · 235 to 252
    Oct 24, 2023 to Mar 26, 2024
  • Assets in custody · $31.6M to $34.8M
    Oct 24, 2023 to Mar 26, 2024
  • Discretionary RAUM · $383M to $399M
    Oct 24, 2023 to Mar 26, 2024
  • HNW RAUM · $283M to $321M
    Oct 24, 2023 to Mar 26, 2024
  • Individual RAUM · $89.5M to $67.1M
    Oct 24, 2023 to Mar 26, 2024
  • Pension RAUM · $4.1M to $4.7M
    Oct 24, 2023 to Mar 26, 2024
  • RAUM · $383M to $399M
    Oct 24, 2023 to Mar 26, 2024
  • Accounts · 416 to 429
    Oct 24, 2023 to Mar 26, 2024
  • HNW clients · 175 to 171
    Oct 24, 2023 to Mar 26, 2024
  • Accounts · 405 to 416
    Mar 31, 2023 to Oct 24, 2023
  • HNW clients · 169 to 175
    Mar 31, 2023 to Oct 24, 2023
  • Individual clients · 230 to 235
    Mar 31, 2023 to Oct 24, 2023
  • Discretionary RAUM · $363M to $383M
    Mar 31, 2023 to Oct 24, 2023
  • HNW RAUM · $291M to $283M
    Mar 31, 2023 to Oct 24, 2023
  • Individual RAUM · $65.2M to $89.5M
    Mar 31, 2023 to Oct 24, 2023
Signals
4 dated events
  • Justin A Falzone left Beta Wealth Group, Inc for Mdrn Wealth (registered 2026-08-18)
    Jan 10, 2024 · Advisor changed firm · fact
  • Stephanie Marie Cunningham left Beta Wealth Group, Inc for D. M. Brenner, Inc. (registered 2023-01-17)
    Jan 4, 2023 · Advisor changed firm · fact
  • Michele Romy Brown (Chief Compliance Officer & Chief Operations Officer) appeared on Schedule A of Beta Wealth Group, Inc
    Mar 22, 2019 · Control person joined · fact
  • Beta Wealth Group, Inc filed its initial SEC registration (Form ADV)
    Aug 15, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business email
info@betaassetmanagement.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone
858-207-3370reportedpublished by the firm, firm site, Sep 17, 2026
Business phone
858-207-3377reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/beta-wealth-groupreportedpublic record, Form ADV, Sep 17, 2026
Website
betaassetmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
858-207-3377reportedpublic record, Form ADV, Jun 4, 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
$153Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026