# Beta Wealth Group, Inc

> 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.

- CRD: 165224
- Filed as: BETA WEALTH GROUP, INC
- Also doing business as: BETA WEALTH GROUP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Diego, CA
- Filing period: October 2026
- Form ADV filing dated: June 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/165224
- AdvisorCensus page: https://advisorcensus.com/firm/beta-wealth-group-inc-san-diego-ca-165224

## Quick answers

**How is Beta Wealth Group, Inc compensated?**
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).

**How much does Beta Wealth Group, Inc charge?**
Its Form ADV Part 2A brochure dated March 27, 2026 states: Hourly rate: $450 an hour (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Beta Wealth Group, Inc located?**
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).

**Is Beta Wealth Group, Inc registered with the SEC or a state?**
Beta Wealth Group, Inc is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 165224.

**How much does Beta Wealth Group, Inc manage?**
Beta Wealth Group, Inc reports $460,254,498 in regulatory assets under management in its Form ADV filing dated June 4, 2026 (100% discretionary).

**How have Beta Wealth Group, Inc's assets and staff changed since 2021?**
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.

**What types of clients does Beta Wealth Group, Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (214); high net worth individuals (164).

**Which custodians does Beta Wealth Group, Inc use?**
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.

**Does Beta Wealth Group, Inc report any disciplinary disclosures?**
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

**What changed in Beta Wealth Group, Inc's recent Form ADV filings?**
In the July 2026 filing data: Added an office in Park City, UT.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 27, 2026)

- Hourly rate: $450 an hour (financial planning and consulting services)

> 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.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $460,254,498
- Discretionary: $460,254,498
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 214 | $64,246,715 |
| High net worth individuals | 164 | $387,559,050 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $7,590,134 |
| Charitable organizations | Fewer than 5 | $858,599 |

### Advisory services (Item 5.G)
- 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

### Firm details
- Registered since: 2012 (14 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, MA, TX, UT, WA
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165224

### Other offices (Schedule D, Section 1.F), as of the July 2026 filing
- Park City, UT

### Websites listed on Form ADV (Item 1.I)
- betaassetmanagement.com
- betawealthgroup.com
- Facebook @BETAWEALTHGROUP.COM
- Instagram @betawealthgroup
- LinkedIn @beta-wealth-group
- LinkedIn @jodi-vleck-cfp®-55a54a2
- X @wealthbeta

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $342,100,000 | 5 | March 11, 2021 |
| October 2022 | $409,900,000 | 3 | March 28, 2022 |
| October 2023 | $362,636,000 | 3 | March 31, 2023 |
| October 2024 | $399,029,675 | 3 | March 26, 2024 |
| October 2025 | $428,982,018 | 4 | July 15, 2025 |
| October 2026 | $460,254,498 | 3 | June 4, 2026 |

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.

## Changes in the filing (last 12 months)

### July 2026
- Added an office in Park City, UT.

### April 2026
- Employees performing advisory functions went from 4 to 3.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Beta Wealth Group, Inc (CRD 165224): Form ADV filing data as of October 2026.