{"url":"https://nivawealth.com/firms/brett-josey-wealth-management-107870","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107870","regulatoryAum":142609391,"crd":"107870","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2839029","suffix":null,"lastName":"JOSEY","firstName":"BRETT","middleName":"BENSON"},{"crd":"7219189","suffix":null,"lastName":"Josey","firstName":"Caleb","middleName":"John"}],"total":2,"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":"2022-01-05","regulatoryAum":124148389,"clients":17,"employees":2,"offices":1},{"filedOn":"2023-01-20","regulatoryAum":99486588,"clients":16,"employees":2,"offices":1},{"filedOn":"2024-01-22","regulatoryAum":117561531,"clients":20,"employees":2,"offices":1},{"filedOn":"2025-01-06","regulatoryAum":128131007,"clients":22,"employees":2,"offices":1},{"filedOn":"2026-03-02","regulatoryAum":142609391,"clients":23,"employees":2,"offices":1}],"secFileNumber":"801-123172","legalName":"Brett Josey Wealth Management LLC","displayName":"Brett Josey Wealth Management","slug":"brett-josey-wealth-management-107870","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Louisiana limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"4 February 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":6200408.304347826,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":142609391,"discretionary":142609391,"discretionaryAccounts":59,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":10,"regulatoryAum":15169291},{"label":"High-net-worth individuals","clients":13,"regulatoryAum":127440100}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:57:19.58987+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013554","versionId":1013554,"submittedOn":"2026-03-02"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=999934","versionId":999934,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=999933","versionId":999933,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":128131007}],"custodyNote":"Brett Josey Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brett Josey","title":"President/Manager/Chief Compliance Officer(as of 06/15/2004)","crd":"2839029"}],"ownership":[{"label":"Brett Josey","detail":"President/manager/chief compliance officer(as of 06/15/2004) in the 75% or more ownership band and a control person, since December 1997."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"318-469-2830","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":69},{"label":"U.S. government/agency bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":5},{"label":"Cash and cash equivalents","percent":20}],"privateFunds":0},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107870/PDF/107870.pdf","brochureDate":"2 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013554","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 Brett Josey Wealth Management have?","answer":"Brett Josey Wealth Management has 23 clients and manages $143 million for them, as of March 2026. They include 13 high-net-worth individuals and 10 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Brett Josey Wealth Management offer?","answer":"Brett Josey Wealth Management provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Brett Josey Wealth Management use?","answer":"Brett Josey Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $128M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Brett Josey Wealth Management have?","answer":"Brett Josey Wealth Management has 2 investment adviser representatives registered with state securities authorities, out of 2 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 Brett Josey Wealth Management invest in?","answer":"At the end of its last fiscal year, Brett Josey Wealth Management’s separately managed accounts held 69% exchange-traded equities, 20% cash and equivalents, 6% U.S. government and agency bonds and 5% registered funds (mutual funds, ETFs, BDCs).","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 Brett Josey Wealth Management?","answer":"Brett Josey Wealth Management’s direct owner is Brett Josey (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Brett Josey Wealth Management get paid?","answer":"Brett Josey Wealth Management is paid through a percentage of assets under management, fixed fees and other compensation. 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 Brett Josey Wealth Management?","answer":"Its phone number is 318-469-2830.","source":"Form ADV Part 1A, Item 1.F, filed 2 March 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."}