DFX Intelligence

T••••••• H••••••••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

T••••••• H••••••••• F•••••

Advisor at N• A•••••••

Fair Oaks, CA | MILPITAS, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2000 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: May 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N• A•••••••	State registered	Aug 24, 2017	n/a	yes	MILPITAS, CA\|MILPITAS, CA\|Fair Oaks, CA	Current employment
S••••••••• W••••• M••••••••• L••	Former SEC adviser	May 2, 2017	Jul 6, 2017	no	Fair Oaks, CA\|GREENVILLE, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• W••••• M••••••••• L••	N• A•••••••	Jul 6, 2017	Aug 24, 2017	49	Firm change	Other
I••••••••• F•••••••• G••••• L••	S••••••••• W••••• M••••••••• L••	Apr 11, 2017	May 2, 2017

Relationships

Registered with (7)

→ N• A•••••••Registered adviserregistration: current employment
Aug 24, 2017 to presentfactForm ADV
→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
May 2, 2017 to Jul 6, 2017factForm ADV
→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Jul 3, 2013 to Apr 11, 2017factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 16, 2000
Last observed: Sep 15, 2026 8 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.