Braziel & Associates, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$0
Clients
0
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
1
Very LowAverage account size
—
About
Braziel & Associates provides comprehensive business succession, estate transfer and financial planning to individual clients, professionals, employee groups, business entities, trusts, estates and charitable organizations. Like many supported firms, it works with individual and high‑net‑worth clients but focuses its practice on planning rather than investment account management.
The firm’s service model is planning‑centric and analytical: it prepares customized plans using commercially available software and bills on an hourly and retainer basis, with clients free to implement recommendations through their chosen brokers or agents. Braziel & Associates does not take custody of client assets, does not manage client portfolios on a discretionary or nondiscretionary basis, and does not participate in wrap fee programs.
Notable distinctions disclosed in the brochure include affiliations and licensing that can affect implementation choices — the advisory practice is connected with an independent broker‑dealer relationship and the firm’s representatives also hold insurance and real estate broker licenses, with the potential to receive commissions on securities, insurance and real estate transactions. The firm also discloses limited ongoing account review practices and a compensation model that does not rely on percentage‑of‑assets fees, which differs from the common AUM‑based approach used by many peers.
Client services
Financial planning
Expertise
Business succession planning
General estate planning guidance
General tax planning
Cash flow / budgeting
Occupation focus
Executive
Fee options
Commissions may be earned if clients implement recommendations through James A. Braziel or Independent Financial Group, LLC (IFG)
$250 per hour for principal; $125 per hour for staff time; fees are negotiated and provided in writing
Fee-only: $250 per hour for principal; $125 per hour for staff time; hourly fees are negotiated and provided in writing at engagement
Main office location
Braziel & Associates, LLC
300 Harding Boulevard, Suite 102
Roseville CA 95678, United States
Number of offices
2
Most active in
Braziel & Associates, LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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