Brett D. Frascati

DASH INVESTMENTS

PLANO, TX 75093

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CRD#: 5502487

Professional summary

Brett Darren Frascati is a registered financial advisor currently at DASH INVESTMENTS located in Plano, Texas.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brett has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

I am the sole owner of a rental property located at 2157 E. Mineral Avenue, Centennial, Colorado 80122 since 2011. I have a property manager, Evolve Real Estate, that handles the day to day management. I devote about an hour per month to my rental property, outside of my full time employment. My only duties are paying for repairs or updates when they come up.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Darren Frascati's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 20, 2025 - Present

DASH INVESTMENTS

Office #1: 6275 W Plano Pkwy Suite 555, Plano, TX 75093

RIA

CRD#: 135281

PLANO, TX

Past

April 3, 2023 - July 16, 2025

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

October 19, 2016 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Denver, CO

Past

August 23, 2016 - October 22, 2024

PVG ASSET MANAGEMENT CORP

RIA

CRD#: 105541

GOLDEN, CO

Past

August 3, 2016 - September 15, 2016

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

March 25, 2013 - September 5, 2014

MONTAGE INVESTMENTS, LLC

RIA

CRD#: 152607

LEAWOOD, KS

Past

March 20, 2013 - September 5, 2014

MSEC, LLC

CRD#: 154327

LEAWOOD, KS

Past

October 29, 2012 - March 12, 2013

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

October 11, 2012 - March 12, 2013

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

May 5, 2010 - September 11, 2012

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

June 11, 2008 - May 17, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DASH INVESTMENTS

DASH ACQUISITIONS INC. | DASH INVESTMENTS | DASH INVESTMENT ADVISORS | DASH ACQUISITIONS LLC

CRD#: 135281 / SEC#: 801-113360

RIA

Registered Investment Advisory firm - (6/1/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2018 Terminated)

New York

Registered Investment Advisory firm - (6/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(8/20/2025)

IAR

Texas
(8/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/26/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2008

General Securities Representative Examination

Current Firm

DASH INVESTMENTS

DASH ACQUISITIONS INC. | DASH INVESTMENTS | DASH INVESTMENT ADVISORS | DASH ACQUISITIONS LLC

CRD#: 135281 / SEC#: 801-113360

RIA

Registered Investment Advisory firm - (6/1/2018 Approved)

California

Registered Investment Advisory firm - (7/13/2018 Terminated)

New York

Registered Investment Advisory firm - (6/13/2018 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2018 Terminated)

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Contact information

Main Address

21600 Oxnard Street Ste. 1755, Woodland Hills, CA 91367

Mailing Address

Phone number

(800) 549-3227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,214
AUM (Assets Under Management)	$ 620,291,414

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Brett D. Frascati

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Darren Frascati's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

PERSONAL CAPITAL ADVISORS CORPORATION

PVG ASSET MANAGEMENT CORP

CIM SECURITIES, LLC

MONTAGE INVESTMENTS, LLC

MSEC, LLC

WADDELL & REED

WADDELL & REED

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

DASH INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2012

Series 63

Date: 6/25/2008

SIE

Date: 9/15/2016

Series 7

Date: 6/10/2008

Current Firm

DASH INVESTMENTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DASH INVESTMENTS

TRUST BUT VERIFY

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