DFX Intelligence

D••• C••••••••• B•••• A••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

D••• C••••••••• B•••• A••••

Advisor at N• A•••••••

BREWSTER, KS | MILPITAS, CA

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Search this name across graphsid dfx:ria:457992e6-2917-4942-970a-52c0f8ef3a04

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 4, 2002 to Sep 15, 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: N• A•••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Oct 1, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N• A•••••••	State registered	Jan 2, 2025	n/a	yes	BREWSTER, KS\|MILPITAS, CA\|MILPITAS, CA	Current employment
F•••••••• C•••••• A••••••• I•••	n/a	Sep 23, 2013	Jan 11, 2018	no	AURORA, CO\|LITTLETON, CO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• B••••••••• F•••••••• P•••••••• I•••	F•••••••• C•••••• A••••••• I•••	Dec 21, 2021	Sep 23, 2013	-3,011	Firm change after gap	Other
F•••••••• C•••••• A••••••• I•••	N• A•••••••	Jan 11, 2018	Jan 2, 2025

Relationships

Registered with (6)

→ N• A•••••••Registered adviserregistration: current employment
Jan 2, 2025 to presentfactForm ADV
→ P••••••••• B••••••••• F•••••••• P•••••••• I•••Registered adviserregistration: previous registration
Aug 3, 2009 to Dec 21, 2021factForm ADV
→ F•••••••• C•••••• A••••••• I•••Registered adviserregistration: previous registration
Sep 23, 2013 to Jan 11, 2018factForm ADV
→ Q•• F•••••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:457992e6-2917-4942-970a-52c0f8ef3a04
First observed: Apr 4, 2002
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.