BETA WEALTH GROUP, INC of SAN DIEGO, CA is an SEC-registered investment adviser (CRD 165224). Regulatory assets under management: $460.3M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
| Name | Role | Location |
|---|---|---|
| Jodi Trabbic Vleck | PRESIDENT | — |
| Michael Edward Vleck | OWNER | — |
| Romy Michele Brown | CHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER/MANAGING PARTNER | — |
| BROWN ROMY MICHELE | CHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER; CHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER/MANAGING PARTNER | — |
| VLECK JODI TRABBIC | PRESIDENT; PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| VLECK MICHAEL EDWARD | OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-20 | regulatory | FIRM VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULES 206(4)-1(C) AND 206(4)-1(A) THEREUNDER | Final | $80K |