DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

N• A•••••••

STATE REGISTEREDMilpitas, CaliforniaCRD 134502websiteIAPD
Latest filing Mar 3, 2026
First filing on the tape Mar 3, 2026 · 1 filings
RAUM
$3.6M
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
100%
$3.6M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
RAUM per advisor
$890,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$583,333derivedHNW RAUM over HNW clients
Average account
$508,571derivedRAUM over accounts (5.F.2.f)
Discretionary
31%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.5M98%
  • Individuals$60,0001.7%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• G••San Jose, Ca May 24, 201229 y2
C••• D•• C•••• W•••San Jose, Ca Feb 4, 201621 y0
T••••••• H••••••••• F•••••Fair Oaks, Ca Aug 24, 201729 y6
N••••• B•••••Milpitas, Ca Nov 27, 201743 y0
J••• C• S•••Dedham, Ma Nov 30, 202121 y1
J••••• B••••••• S••••••Dallas, Tx Aug 17, 202313 y1
K••••••• A•• B••••••••Milpitas, Ca Jan 1, 202535 y9
J•••••• W•••Milpitas, CaJan 1, 202526 y0
D••• C••••••••• B•••• A••••Brewster, Ks Jan 2, 202538 y5
H••••••• Z••••Basking Ridge, Nj Jan 3, 202510 y1
B••• S•••••••••Milpitas, Ca Jan 30, 202532 y3
S•••••• J•••• C••••Jurupa Valley, Ca Jan 26, 202631 y3
N•••• Y•• C••••Milpitas, Ca Feb 9, 202620 y7
T•• C•••East Brunswick, NjApr 14, 202610 y3
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Milpitas, Ca · principal1331
    Campbell, Ca210
    Dallas, Tx200
    Basking Ridge, Nj200
    Fair Oaks, Ca200
    San Jose, Ca200
    Walnut Creek, Ca210
    Dedham, Ma200
    East Brunswick, Nj210
    Edison, Nj200
    Daly City, Ca000
    Cupertino, Ca000
    Lansdale, Pa000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    7 dated events
    • Dennis Brian Noss no longer registered at N• A•••••••; no later IA registration on IAPD
      Aug 2, 2026 · Advisor departure · fact
    • H•••••• L•• left N• A••••••• for W••••••••• A••••••• P••••••• L•• (registered 2025-11-26)
      Oct 31, 2024 · advisor firm c••••e · fact
    • P•••• T• P• left N• A••••••• for E•••••• E••••• L•• (registered 2026-05-15)
      May 16, 2024 · advisor firm c••••e · fact
    • S•••••• A•• W••• left N• A••••••• for E•••••• E••••• L•• (registered 2024-04-25)
      May 16, 2024 · advisor firm c••••e · fact
    • 2 advisors left N• A••••••• (Cupertino, CA) for E•••••• E••••• L•• on the same day
      May 16, 2024 · Team lift-out · derived
    • R•••••• Z••• left N• A••••••• for G••••• W••••• M••••••••• L•• (registered 2024-05-10)
      Jan 12, 2024 · advisor firm c••••e · fact
    • C••• B•• left N• A••••••• for L•• E••••••••• L•• (registered 2025-03-07)
      Mar 22, 2023 · advisor firm c••••e · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Website
    n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    510-306-7777reportedpublic record, Form ADV, Mar 3, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026