{
  "crd_number": 165224,
  "slug": "beta-wealth-group-inc-san-diego-ca-165224",
  "primary_business_name": "BETA WEALTH GROUP, INC",
  "legal_name": "BETA WEALTH GROUP, INC",
  "dbas": [
    "BETA WEALTH GROUP"
  ],
  "city": "San Diego",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "41740",
  "metro": {
    "cbsa_code": "41740",
    "common_name": "San Diego",
    "msa_name": "San Diego-Chula Vista-Carlsbad, CA",
    "path": "/advisors/ca/san-diego"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2012-08-24",
  "years_registered": 14,
  "period": "2026-10-01",
  "filing_date": "2026-06-04",
  "carried_forward": false,
  "raum_total": 460254498.0,
  "raum_discretionary": 460254498.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 3,
  "advisory_employees": 3,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 858599.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 64246715.0,
      "count": 214
    },
    "pension_profit_sharing": {
      "raum": 7590134.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 387559050.0,
      "count": 164
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 2,
  "states_registered": [
    "AZ",
    "CA",
    "MA",
    "TX",
    "UT",
    "WA"
  ],
  "websites": [
    "https://betaassetmanagement.com",
    "https://betawealthgroup.com",
    "https://facebook.com/BETAWEALTHGROUP.COM",
    "https://instagram.com/betawealthgroup?igsh=NTc4MTIwNjQ2YQ%3D%3D",
    "https://linkedin.com/company/beta-wealth-group",
    "https://linkedin.com/in/jodi-vleck-cfp%C2%AE-55a54a2",
    "https://twitter.com/wealthbeta"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165224",
  "disclosure_items": [
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    }
  ],
  "city_as_filed": "SAN DIEGO",
  "url": "https://advisorcensus.com/firm/beta-wealth-group-inc-san-diego-ca-165224",
  "display_name": "Beta Wealth Group, Inc",
  "summary": "Beta Wealth Group, Inc is an SEC-registered investment advisory firm in San Diego, CA, registered since 2012, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 4, 2026.",
  "citation": "AdvisorCensus. Beta Wealth Group, Inc (CRD 165224): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Beta Wealth Group, Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Beta Wealth Group, Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Beta Wealth Group, Inc charge?",
      "a": "Its Form ADV Part 2A brochure dated March 27, 2026 states: Hourly rate: $450 an hour (financial planning and consulting services); Flat fee: $750 to $10,000 (Retirement Plan Consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Beta Wealth Group, Inc located?",
      "a": "Beta Wealth Group, Inc's principal office is in San Diego, CA, according to its Form ADV; the July 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Beta Wealth Group, Inc registered with the SEC or a state?",
      "a": "Beta Wealth Group, Inc is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 165224."
    },
    {
      "q": "How much does Beta Wealth Group, Inc manage?",
      "a": "Beta Wealth Group, Inc reports $460,254,498 in regulatory assets under management in its Form ADV filing dated June 4, 2026 (100% discretionary)."
    },
    {
      "q": "How have Beta Wealth Group, Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Beta Wealth Group, Inc: Regulatory assets under management: $342,100,000 in the October 2021 data and $460,254,498 in the October 2026 data, up 35%. Total employees: 5 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Beta Wealth Group, Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (214); high net worth individuals (164)."
    },
    {
      "q": "Which custodians does Beta Wealth Group, Inc use?",
      "a": "Beta Wealth Group, Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Beta Wealth Group, Inc report any disciplinary disclosures?",
      "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation) and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165224"
    },
    {
      "q": "What changed in Beta Wealth Group, Inc's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Added an office in Park City, UT."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 342100000.0,
      "total_employees": 5,
      "filing_date": "2021-03-11"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 409900000.0,
      "total_employees": 3,
      "filing_date": "2022-03-28"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 362636000.0,
      "total_employees": 3,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 399029675.0,
      "total_employees": 3,
      "filing_date": "2024-03-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 428982018.0,
      "total_employees": 4,
      "filing_date": "2025-07-15"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 460254498.0,
      "total_employees": 3,
      "filing_date": "2026-06-04"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Added an office in Park City, UT."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 4 to 3."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 27, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $450 an hour (financial planning and consulting services)",
      "Flat fee: $750 to $10,000 (Retirement Plan Consulting services)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $450 an hour (financial planning and consulting services)"
        ],
        "quotes": [
          "We charge on an hourly or flat fee basis for financial planning and consult ing services. ... Our hourly fee is up to $ 450. Flat fees generally range from $1,500 to $10,000."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: $750 to $10,000 (Retirement Plan Consulting services)"
        ],
        "quotes": [
          "Our Retirement Plan Consulting services are billed on an hourly or flat fee basis ... The maximum hourly fee to be charged will not exceed $ 450. Our flat fees range from $750 to $10,000."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 450.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "financial planning and consulting services"
        },
        {
          "kind": "flat",
          "amount": null,
          "min": 750.0,
          "max": 10000.0,
          "period": "one_time",
          "service": "Retirement Plan Consulting services"
        }
      ]
    },
    "quotes": [
      "We charge on an hourly or flat fee basis for financial planning and consult ing services. ... Our hourly fee is up to $ 450. Flat fees generally range from $1,500 to $10,000.",
      "Our Retirement Plan Consulting services are billed on an hourly or flat fee basis ... The maximum hourly fee to be charged will not exceed $ 450. Our flat fees range from $750 to $10,000."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/beta-wealth-group-inc-san-diego-ca-165224.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 214,
      "fewer_than_5": false,
      "raum": 64246715.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 164,
      "fewer_than_5": false,
      "raum": 387559050.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": null,
      "fewer_than_5": true,
      "raum": 7590134.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 858599.0
    }
  ],
  "disclosure_line": "Reports 2 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/165224",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}