{"url":"https://nivawealth.com/firms/breen-wealth-management-286513","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/286513","regulatoryAum":318842453,"crd":"286513","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6856662","suffix":null,"lastName":"BORBA JR","firstName":"ANTHONY","middleName":"MICHAEL"},{"crd":"4731645","suffix":null,"lastName":"BREEN","firstName":"BRIAN","middleName":"JEFFERY"},{"crd":"8178230","suffix":null,"lastName":"Davainis","firstName":"Andrew","middleName":"Alexander"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-02-22","regulatoryAum":170472028,"clients":150,"employees":3,"offices":1},{"filedOn":"2022-03-02","regulatoryAum":212884330,"clients":172,"employees":3,"offices":1},{"filedOn":"2023-02-03","regulatoryAum":190125642,"clients":179,"employees":3,"offices":1},{"filedOn":"2024-02-26","regulatoryAum":234347323,"clients":175,"employees":3,"offices":1},{"filedOn":"2025-01-23","regulatoryAum":272806485,"clients":178,"employees":3,"offices":1},{"filedOn":"2026-07-07","regulatoryAum":318842453,"clients":178,"employees":3,"offices":1}],"secFileNumber":"801-112749","legalName":"Breen Wealth Management, LLC","displayName":"Breen Wealth Management","slug":"breen-wealth-management-286513","website":"https://breenwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":"2009","organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"200 Kentucky St., 2nd Floor Suite C","city":"Petaluma","state":"CA","stateName":"California","country":"United States","postalCode":"94952"},"tradeNames":[],"registration":{"secApproved":"2 April 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1791249.7359550563,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":318842453,"discretionary":318842453,"discretionaryAccounts":626,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":1,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":77,"regulatoryAum":44967390},{"label":"High-net-worth individuals","clients":101,"regulatoryAum":273875063}],"feePrograms":[{"role":"other","program":"Financial Planning and Consulting","summary":"Billed hourly at a maximum of $400 an hour, scoped to each engagement; a retainer of 50% of the ultimate fee is due at signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050995","versionId":1050995,"submittedOn":"2026-07-07","documentName":"BREEN WEALTH MANAGEMENT, LLC FORM ADV 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:18:19.578518+00:00","documents":[{"name":"BREEN WEALTH MANAGEMENT, LLC FORM ADV 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050995","versionId":1050995,"submittedOn":"2026-07-07"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":301166964}],"custodyNote":"Breen Wealth Management has custody of $55.1M in client assets for 70 clients.","otherCustodians":[],"leadership":[{"name":"Brian Breen","title":"Principal, Owner, Senior Advisor & Chief Compliance Officer","crd":"4731645"}],"ownership":[{"label":"Brian Breen","detail":"Principal, owner, senior advisor & chief compliance officer in the 75% or more ownership band and a control person, since January 2017."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"200 Kentucky St., 2nd Floor Suite C","city":"Petaluma","headquarters":true}]}],"brochureServices":["education planning","estate planning","insurance","philanthropic planning","tax planning"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"707-595-6556","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":88},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"7 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/286513/PDF/286513.pdf","brochureDate":"7 July 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1050995","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Breen Wealth Management have?","answer":"Breen Wealth Management has 178 clients and manages $319 million for them, as of July 2026. They include 101 high-net-worth individuals and 77 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Breen Wealth Management offer?","answer":"Breen Wealth Management provides financial planning, portfolio management for individuals and small businesses, pension consulting, education planning, estate planning, insurance, philanthropic planning, and tax planning.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Breen Wealth Management use?","answer":"Breen Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $301M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 7 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Breen Wealth Management have?","answer":"Breen Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Breen Wealth Management invest in?","answer":"At the end of its last fiscal year, Breen Wealth Management’s separately managed accounts held 88% registered funds (mutual funds, ETFs, BDCs), 7% exchange-traded equities and 5% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Breen Wealth Management?","answer":"Breen Wealth Management’s direct owner is Brian Breen (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Breen Wealth Management get paid?","answer":"Breen Wealth Management is paid through a percentage of assets under management and hourly charges. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Breen Wealth Management?","answer":"Breen Wealth Management’s main office is at 200 Kentucky St., 2nd Floor Suite C, Petaluma, CA 94952. Its phone number is 707-595-6556. Its website is breenwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 7 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}