DFX Intelligence

N• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM under $100M

N• A•••••••

CRD 134502

MILPITAS, CA

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Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 8
On other graphs: 3
Observed: Mar 3, 2026 to Mar 3, 2026
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

N• A•••••••

Venture manager · key_crd, shared_crd

Independent Sponsorsidentity

N• A•••••••

Intermediary · key_crd, shared_crd

Private Equityidentity

N• A•••••••

Intermediary · key_crd, shared_crd

Facts

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $3.6M••• Locked
Discretionary RAUM: $1.1M
Private client RAUM: $3.6Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 16
Advisory employees: 4

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• G••	n/a	San Jose, CA \| ARCADIA, CA \| East Brunswick, NJ \| Parlin, NJ \| Dedham, MA \| Milpitas, CA \| Basking Ridge, NJ \| Campbell, CA \| MILPITAS, CA \| Dallas, TX \| HACIENDA HEIGHTS, CA \| Fair Oaks, CA \| Edison, NJ \| Ellicott City, MD \| Walnut Creek, CA	14	29	2	yes
C••• D•• C•••• W•••	n/a	San Jose, CA \| MILPITAS, CA

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	n/a	0	0	0	5	4

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••• E••••• L••	2	May 16, 2024	May 15, 2026	CUPERTINO, CA	Team lift out	Other	22.2%

Relationships

Registered with (23)

← Y••••• L••Advisorregistration: current employment
Sep 18, 2026 to presentfactForm ADV
← S•••••• J•••• C••••Advisorregistration: current employment
Jul 3, 2026 to presentfactForm ADV
← T•• C•••Advisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← K••••••• A•• B••••••••Advisor

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
2 Aug 2026
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
31 Oct 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
16 May 2024
Advisor changed firm2 events
N• A•••••••: advisor changed firm, 2 counterparties, on 16 May 2024
- ••• Locked
- ••• Locked
Occurred
16 May 2024
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
12 Jan 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 3, 2026
Last observed: Mar 3, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds 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.

All 15 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••• S•••••••••	n/a	MILPITAS, CA \| Edison, NJ	1	32	3	yes
S•••••• J•••• C••••	n/a	Jurupa Valley, CA \| MILPITAS, CA	0	31	3	yes
N•••• Y•• C••••	n/a	MILPITAS, CA \| Campbell, CA	0	20	7	yes
T•• C•••	n/a	East Brunswick, NJ	0	10	3	yes
Y••••• L••	n/a	MILPITAS, CA	0	11	n/a	yes