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RIA / WealthAdvisorCertified Financial Planner10 years in industry

NEIL FREDERICK FENNING

Advisor at A5 FINANCIAL LLC

BOTHELL, WA

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Search this name across graphsid dfx:ria:041421df-c16d-688e-648f-904b607b1d26

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 12, 2016 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: A5 FINANCIAL LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 12, 2016
First registration: Jul 12, 2016
Dual registered: no
IAPD individual key: 6627691

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A5 FINANCIAL LLC	State registered	Mar 25, 2025	n/a	yes	BOTHELL, WA	Current employment
GRADIENT ADVISORS, LLC	Independent wealth	Mar 4, 2024	Apr 15, 2025	no	ARDEN HILLS, MN\|Bothell, WA	Previous registration
DECKER RETIREMENT PLANNING INC.	Independent wealth	Aug 13, 2021	Jan 5, 2024	no	Renton, WA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 4, 2020	Aug 3, 2021	no	Edmonds, WA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jul 12, 2016	Dec 12, 2019	no	San Mateo, CA\|Soquel, CA\|Los Gatos, CA\|Carmel, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
GRADIENT ADVISORS, LLC	A5 FINANCIAL LLC	Apr 15, 2025	Mar 25, 2025	-21	Firm change	RIA to state RIA
DECKER RETIREMENT PLANNING INC.	GRADIENT ADVISORS, LLC	Jan 5, 2024	Mar 4, 2024	59	Firm change	RIA to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	DECKER RETIREMENT PLANNING INC.	Aug 3, 2021	Aug 13, 2021	10	Firm change	Ibd to RIA
CHARLES SCHWAB & CO., INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 12, 2019	May 4, 2020	144	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ A5 FINANCIAL LLCRegistered adviserregistration: current employment
Mar 25, 2025 to presentfactForm ADV
→ GRADIENT ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 4, 2024 to Apr 15, 2025factForm ADV
→ DECKER RETIREMENT PLANNING INC.Registered adviserregistration: previous registration
Aug 13, 2021 to Jan 5, 2024factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 4, 2020 to Aug 3, 2021factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jul 12, 2016 to Dec 12, 2019factForm ADV

Dated events

Occurred
Apr 15, 2025
Advisor changed firm
Neil Frederick Fenning left Gradient Advisors, Llc for A5 Financial Llc (registered 2025-03-25)
Form ADVobserved 6 days ago
Occurred
Jan 5, 2024
Advisor changed firm
Neil Frederick Fenning left Decker Retirement Planning Inc. for Gradient Advisors, Llc (registered 2024-03-04)
Form ADVobserved 6 days ago