BRETON CO
BRETON FINANCIAL, INC. Legal Name
Adviser information for BRETON CO last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 21 | $125.1M |
| Total | 21 | $125.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7 | $9.7M |
| HNW Individuals | 13 | $115.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $8,351 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 21 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesPERCENTAGE OF NET WORTH |
Identifiers
| SEC RIA File Number | 801-31969 |
|---|---|
| SEC ERA File Number | 801-31969 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105606 |
| Legal Entity Identifier | None |
Principal Office
105 ATSION ROAD STES B&DMEDFORD
NJ
United States
Monday - Friday, 9:00 AM - 4:30 PM
Tel: 609-654-1212, Fax: 609-654-5709
Chief Compliance Officer
ROSEANN BOVE
VICE PRESIDENT
105 ATSION RD. STE. B&D
MEDFORD
NJ
United States
Tel:
609-654-1212
Fax:
609-654-5709
R********@******M
(Full email address available in API data)
Regulatory Contact
FEENEY, PATRICIA S.
PRESIDENT
105 ATSION RD STE B&D
MEDFORD
NJ
United States
Tel:
(609)654-1212
Fax:
(609)654-5709
P*****@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FEENEY, PATRICIA | Individual | – | PRESIDENT | 03/1988 | 50-75% |
| BOVE, ROSEANN | Individual | – | VICE PRESIDENT / CHIEF COMPLIANCE OFFICER | 03/1988 | 50-75% |