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FinancialADVSR

Est. 2026The front page of wealth managementNew York

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Registered advisors

Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.

  1. 398,212Registered advisersEvery investment adviser representative
  2. 304,829Dually registered77% are also broker reps
  3. 93,383Adviser onlyNot registered with a broker-dealer
  4. 25,629FirmsWhere they're registered
  5. 56,885CFPs10,996 CFAs, 12,688 ChFCs

From the SEC’s compilation report of October 23, 2026, refreshed every morning. −21,993 since the file before. 47 firm joins and 22,771 departures in the latest file. 7 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

7 advisors

Unlock all 7
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Nancy J. HowardNewport Beach, CASpectrum Asset Management Inc.Adviser onlyCFPAtlas2012
2Ryan L. KellyNewport Beach, CASpectrum Asset Management Inc.Adviser only–Atlas2012
3Mitchel E. NeedelmanNewport Beach, CASpectrum Asset Management Inc.Adviser onlyCFAAtlas2005
4Ty E. NeubauerNewport Beach, CASpectrum Asset Management Inc.Adviser only–Atlas2018
5Michael J. OttmanNewport Beach, CASpectrum Asset Management Inc.Adviser onlyCFPAtlas1995
6Garrett J. PetersonNewport Beach, CASpectrum Asset Management Inc.Adviser only–Atlas2025
7Lisa S. SharpNewport Beach, CASpectrum Asset Management Inc.Adviser onlyCFPAtlas1997

From the SEC’s Investment Adviser Public Disclosure compilation report: investment adviser representatives, including those also registered as broker representatives. Personal contact details aren’t included.