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.
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SEC-registered adviser
B•••• W••••• M••••••••• L••
Latest filing Jul 7, 2026
First filing on the tape Mar 2, 2018 · 14 filings
SEC status approved since Apr 2, 2018
RAUM
$319M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$319M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$319M as of Jul 7, 2026
Jan 15, 2019$116M then
HNW client RAUM$274M as of Jul 7, 2026
Jan 15, 2019$89.0M then
State-registered IARs (5.B.3)2 as of Jul 7, 2026
Jan 15, 20192 then
Employees (5.A)3 as of Jul 7, 2026
Jan 15, 20193 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 7, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $509,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $55.1M, 70 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M86%
- Individuals$45.0M14%
- Individual clients
- 77reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 626reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.1M for 70 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J•••••• B••••Certified Financial Planner | Petaluma, Ca | Feb 22, 2017 | 22 y | 5 |
| A•••••• M•••••• B•••• J• | Petaluma, Ca | Dec 5, 2017 | 10 y | 0 |
| A••••• A•••••••• D••••••• | Petaluma, Ca | Jul 8, 2026 | 19 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• A•••••••• D••••••• from M•• I•••••••• S•••••••• L••Jul 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• J•••••• B•••• from J••••••• • B•••• W••••• M••••••••• L••Feb 22, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• J•••••• · Principal, Owner, Senior Advisor & Chief Compliance Officercontrolsince 01/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Petaluma, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 569 to 626Jan 23, 2025 to Feb 20, 2026
- Assets in custody · $47.6M to $55.1MJan 23, 2025 to Feb 20, 2026
- Discretionary RAUM · $273M to $319MJan 23, 2025 to Feb 20, 2026
- HNW RAUM · $237M to $274MJan 23, 2025 to Feb 20, 2026
- Individual RAUM · $36.2M to $45.0MJan 23, 2025 to Feb 20, 2026
- RAUM · $273M to $319MJan 23, 2025 to Feb 20, 2026
- Accounts · 601 to 569Feb 26, 2024 to Jan 23, 2025
- HNW clients · 98 to 101Feb 26, 2024 to Jan 23, 2025
- Assets in custody · $41.3M to $47.6MFeb 26, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 0Feb 26, 2024 to Jan 23, 2025
- Discretionary RAUM · $234M to $273MFeb 26, 2024 to Jan 23, 2025
- HNW RAUM · $201M to $237MFeb 26, 2024 to Jan 23, 2025
- Individual RAUM · $32.9M to $36.2MFeb 26, 2024 to Jan 23, 2025
- RAUM · $234M to $273MFeb 26, 2024 to Jan 23, 2025
- Accounts · 566 to 601Feb 3, 2023 to Feb 26, 2024
- HNW clients · 97 to 98Feb 3, 2023 to Feb 26, 2024
- Individual clients · 82 to 77Feb 3, 2023 to Feb 26, 2024
- Assets in custody · $41.6M to $41.3MFeb 3, 2023 to Feb 26, 2024
- Discretionary RAUM · $190M to $234MFeb 3, 2023 to Feb 26, 2024
- HNW RAUM · $161M to $201MFeb 3, 2023 to Feb 26, 2024
- Individual RAUM · $28.6M to $32.9MFeb 3, 2023 to Feb 26, 2024
- RAUM · $190M to $234MFeb 3, 2023 to Feb 26, 2024
- Accounts · 536 to 566Mar 2, 2022 to Feb 3, 2023
- HNW clients · 91 to 97Mar 2, 2022 to Feb 3, 2023
- Individual clients · 81 to 82Mar 2, 2022 to Feb 3, 2023
- Assets in custody · $29.4M to $41.6MMar 2, 2022 to Feb 3, 2023
- Discretionary RAUM · $213M to $190MMar 2, 2022 to Feb 3, 2023
- HNW RAUM · $181M to $161MMar 2, 2022 to Feb 3, 2023
- Individual RAUM · $31.9M to $28.6MMar 2, 2022 to Feb 3, 2023
- RAUM · $213M to $190MMar 2, 2022 to Feb 3, 2023
- Accounts · 465 to 536Feb 22, 2021 to Mar 2, 2022
- HNW clients · 95 to 91Feb 22, 2021 to Mar 2, 2022
- Individual clients · 50 to 81Feb 22, 2021 to Mar 2, 2022
- Pension plan clients · 5.0 to unsetFeb 22, 2021 to Mar 2, 2022
- Assets in custody · $17.3M to $29.4MFeb 22, 2021 to Mar 2, 2022
- Discretionary RAUM · $170M to $213MFeb 22, 2021 to Mar 2, 2022
- HNW RAUM · $135M to $181MFeb 22, 2021 to Mar 2, 2022
- Individual RAUM · $30.0M to $31.9MFeb 22, 2021 to Mar 2, 2022
- Pension RAUM · 5000000.0 to unsetFeb 22, 2021 to Mar 2, 2022
- RAUM · $170M to $213MFeb 22, 2021 to Mar 2, 2022
Signals
1 dated events
- B•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2018 · First SEC registration · 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
- info@breenwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-595-6556reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-595-6556reportedpublic record, Form ADV, Jul 7, 2026
- Team page
- breenwealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026