Hedge Fund Database

BETA WEALTH GROUP, INC

Adviser information for BETA WEALTH GROUP, INC last updated from Form ADV on March 26th, 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 California, United States

Employees

Total Number of Employees 3
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 3
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 429 $399.0M
Non-Discretionary 0 $0
Total 429 $399.0M

Clients

Type Number RAUM
Individuals 252 $67.1M
HNW Individuals 171 $321.1M
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 <5 $4.7M
Charitable organizations <5 $6.1M
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 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)SUB-MANAGEMENT AND CONSULTING SERVICES
Compensation % of AUMHourly chargesFixed fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 0
Both for Same 43.0M
Portfolio Manager to Program Sponsor
BETA WEALTH GROUP - WRAP PROGRAM BETA WEALTH GROUP

Identifiers

SEC RIA File Number 801-77060
SEC ERA File Number 801-77060
SEC CIK Numbers 1594417
SEC CRD Numbers 165224
Legal Entity Identifier None

Principal Office

11421 W. BERNARDO COURT
SAN DIEGO
CA
United States
Monday - Friday, 7:30AM - 4:30PM
Tel: 858-207-3377, Fax: 858-207-3370

Websites

twitter.com/wealthbeta www.linkedin.com/in/jodi-vleck-cfp%c2%ae-55a54a2/ www.linkedin.com/company/beta-wealth-group www.betawealthgroup.com www.facebook.com/betawealthgroup.com

Chief Compliance Officer

ROMY M. BROWN
CHIEF OPERATIONS & COMPLIANCE OFFICER
11421 W. BERNARDO COURT
SAN DIEGO
CA
United States
Tel: 858-207-3377
Fax: 858-207-3370
(Full email address available in API data)

Regulatory Contact

JOHN WILLIAMS
CONSULTANT
2865 GREEN COVE WAY
SMYRNA
GA
United States
Tel: 404-402-3193
(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
VLECK, JODI, TRABBIC Individual – PRESIDENT 12/2009 > 75%
VLECK, MICHAEL, EDWARD Individual – OWNER 12/2013 10-25%
BROWN, ROMY, MICHELE Individual – CHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER/MANAGING PARTNER 01/2021 < 5%

No. Employees, Historic

10502020202120222023202420255 on 3/11/20205 on 5/15/20205 on 8/10/20205 on 3/11/20213 on 3/28/20223 on 3/31/20233 on 10/24/20233 on 3/26/2024

RAUM, Historic

500M250M0202020212022202320242025307500000 on 3/11/2020307500000 on 5/15/2020307500000 on 8/10/2020342100000 on 3/11/2021409900000 on 3/28/2022362636000 on 3/31/2023382525850 on 10/24/2023399029675 on 3/26/2024

No. Clients, Historic

5002500202020212022202320242025367 on 3/11/2020367 on 5/15/2020367 on 8/10/2020365 on 3/11/2021393 on 3/28/2022399 on 3/31/2023410 on 10/24/2023423 on 3/26/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 551K 5K Crossmark Global Holdings, Inc.
ADVANCED MICRO DEVICES INC COM 762K 5K Crossmark Global Holdings, Inc.
AGILENT TECHNOLOGIES INC COM 245K 2K –
ALPHABET INC CAP STK CL C 3M 14K –
ALPHABET INC CAP STK CL A 299K 2K –
ALPHABET INC CAP STK CL C 569K 3K Crossmark Global Holdings, Inc.
AMAZON COM INC COM 6M 32K –
AMAZON COM INC COM 928K 5K Crossmark Global Holdings, Inc.
AMERICAN CENTY ETF TR US SML CP VALU 809K 9K ENVESTNET ASSET MANAGEMENT INC
APPLE INC COM 5M 22K –
ARK ETF TR FINTECH INNOVA 924K 33K –
BANK AMERICA CORP COM 281K 7K Crossmark Global Holdings, Inc.
BLACKROCK ETF TRUST II FLEXIBLE INCOME 7M 139K –
BLACKROCK ETF TRUST II HIGH YLD MUNI IN 2M 81K –
BLACKSTONE INC COM 6M 48K –
BRISTOL-MYERS SQUIBB CO COM 295K 7K Crossmark Global Holdings, Inc.
CAPITAL GRP FIXED INCM ETF T SHORT DURATION M 5M 188K –
CISCO SYS INC COM 414K 9K Crossmark Global Holdings, Inc.
CITIGROUP INC COM NEW 521K 8K Crossmark Global Holdings, Inc.
COCA COLA CO COM 472K 7K Crossmark Global Holdings, Inc.
COSTCO WHSL CORP NEW COM 750K 882 –
CVS HEALTH CORP COM 2M 39K –
CVS HEALTH CORP COM 367K 6K Crossmark Global Holdings, Inc.
D R HORTON INC COM 479K 3K Crossmark Global Holdings, Inc.
DBX ETF TR XTRACK MSCI EAFE 5M 196K –
DELTA AIR LINES INC DEL COM NEW 385K 8K Crossmark Global Holdings, Inc.
DIMENSIONAL ETF TRUST SHORT DURATION F 4M 94K –
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 2M 65K –
DIMENSIONAL ETF TRUST US SMALL CAP ETF 908K 15K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 534K 13K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 329K 9K –
DIMENSIONAL ETF TRUST US EQUITY ETF 309K 5K –
DIMENSIONAL ETF TRUST NATL MUN BD ETF 426K 9K DIMENSIONAL FUND ADVISORS LP
DISNEY WALT CO COM 5M 47K –
DISNEY WALT CO COM 586K 6K Crossmark Global Holdings, Inc.
DUPONT DE NEMOURS INC COM 484K 6K Crossmark Global Holdings, Inc.
ELECTRONIC ARTS INC COM 390K 3K Crossmark Global Holdings, Inc.
EMERSON ELEC CO COM 453K 4K Crossmark Global Holdings, Inc.
EXXON MOBIL CORP COM 646K 6K Crossmark Global Holdings, Inc.
FIDELITY MERRIMACK STR TR TOTAL BD ETF 18M 409K –
FIDELITY MERRIMACK STR TR TOTAL BD ETF 977K 22K ENVESTNET ASSET MANAGEMENT INC
FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 216K 7K –
GENERAL DYNAMICS CORP COM 233K 802 –
GILEAD SCIENCES INC COM 47K 7K Crossmark Global Holdings, Inc.
GUIDEWIRE SOFTWARE INC COM 276K 2K –
HOME DEPOT INC COM 3M 7K –
INVESCO EXCH TRADED FD TR II VAR RATE PFD 1M 44K –
INVESCO EXCH TRADED FD TR II PFD ETF 904K 78K –
INVESCO EXCH TRADED FD TR II SR LN ETF 446K 21K –
ISHARES INC MSCI AGRICULTURE 3M 77K –
ISHARES TR MSCI ACWI EX US 3M 61K –
ISHARES TR INTL SEL DIV ETF 949K 34K –
ISHARES TR RESIDENTIAL MULT 711K 9K –
ISHARES TR NATIONAL MUN ETF 545K 5K –
ISHARES TR CORE MSCI TOTAL 211K 3K –
J P MORGAN EXCHANGE TRADED F MUNICIPAL ETF 11M 217K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 10M 180K –
J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 7M 131K –
J P MORGAN EXCHANGE TRADED F REALTY INCOME ET 3M 58K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 658K 12K ENVESTNET ASSET MANAGEMENT INC
KLA CORP COM NEW 440K 534 ENVESTNET ASSET MANAGEMENT INC
LISTED FD TR CLOUGH SELECT EQ 622K 20K –
MEDTRONIC PLC SHS 520K 7K Crossmark Global Holdings, Inc.
MERCK & CO INC COM 583K 5K Crossmark Global Holdings, Inc.
META PLATFORMS INC CL A 210K 417 –
MICROCHIP TECHNOLOGY INC. COM 577K 6K Crossmark Global Holdings, Inc.
MICRON TECHNOLOGY INC COM 724K 6K Crossmark Global Holdings, Inc.
MICROSOFT CORP COM 8M 18K –
MILESTONE PHARMACEUTICALS IN COM 19K 14K –
MONDELEZ INTL INC CL A 3M 47K –
MONDELEZ INTL INC CL A 465K 7K Crossmark Global Holdings, Inc.
MORGAN STANLEY COM NEW 634K 7K Crossmark Global Holdings, Inc.
NIKE INC CL B 445K 6K Crossmark Global Holdings, Inc.
NVIDIA CORPORATION COM 617K 5K –
NVIDIA CORPORATION COM 791K 6K Crossmark Global Holdings, Inc.
ORACLE CORP COM 862K 6K Crossmark Global Holdings, Inc.
PAYPAL HLDGS INC COM 429K 7K Crossmark Global Holdings, Inc.
PIMCO CALIF MUN INCOME FD COM 145K 15K –
PIMCO DYNAMIC INCOME FD SHS 4M 200K –
PIMCO ETF TR MULTISECTOR BD 4M 157K –
PIMCO ETF TR INTER MUN BD ACT 3M 49K –
PIMCO MUN INCOME FD II COM 655K 77K –
PIMCO MUN INCOME FD III COM 881K 112K –
QUALCOMM INC COM 814K 4K –
QUALCOMM INC COM 837K 4K Crossmark Global Holdings, Inc.
RTX CORPORATION COM 473K 5K Crossmark Global Holdings, Inc.
SCHWAB CHARLES CORP COM 472K 6K Crossmark Global Holdings, Inc.
SERVICENOW INC COM 2M 2K –
SOUTHERN CO COM 529K 7K Crossmark Global Holdings, Inc.
SPDR INDEX SHS FDS S&P INTL ETF 204K 6K –
SPDR S&P 500 ETF TR TR UNIT 2M 3K –
SPDR SER TR PORTFOLIO S&P500 10M 163K –
SPDR SER TR PORTFOLIO S&P400 1M 20K –
SPDR SER TR NUVEEN BLOOMBERG 855K 34K –
SSGA ACTIVE ETF TR BLACKSTONE SENR 3M 77K –
SSGA ACTIVE TR SPDR NUVEEN MUN 2M 65K –
SSGA ACTIVE TR SPDR NUVEEN MUN 206K 7K –
TJX COS INC NEW COM 628K 6K Crossmark Global Holdings, Inc.
VALERO ENERGY CORP COM 282K 2K Crossmark Global Holdings, Inc.
VANECK ETF TRUST AGRIBUSINESS ETF 5M 64K –
VANGUARD MUN BD FDS TAX EXEMPT BD 2M 39K –
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 3M 51K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 3M 40K –
VANGUARD WHITEHALL FDS INTL DVD ETF 242K 3K –
VANGUARD WORLD FD HEALTH CAR ETF 6M 24K –
VANGUARD WORLD FD ESG US STK ETF 273K 3K –
VERIZON COMMUNICATIONS INC COM 294K 7K Crossmark Global Holdings, Inc.
VISA INC COM CL A 208K 794 –
WALMART INC COM 535K 8K Crossmark Global Holdings, Inc.
WASTE MGMT INC DEL COM 3M 14K –
WELLS FARGO CO NEW COM 482K 8K Crossmark Global Holdings, Inc.
WESTERN DIGITAL CORP. COM 576K 8K Crossmark Global Holdings, Inc.