Saturday, October 24, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
4K Social Security Database Cleanup Corrects 50 Million RecordsRB Schwab trumpeted Anthropic's Claude for all 16,000 of its RIAs, but a 20-seat enterprise minimum suddenly sidelines 11,000-plus small firms -- right before IMPACT 2026FP Do smaller RIAs really need to own their data?RB Bank of America analyst 'double' slams Ameriprise not least because RIA 'structural' advantage triggered proactive in-house retention bonuses that take a bite out of margins and may not retain big teams long-termIN Trump to ease 50% Canada tariffs on farm equipment, packaging goodsWM The New Rules of Record Keeper SelectionWM SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, DeepfakesIN People moves: RBC taps Raymond James veteran for Texas complexWM Lido CEO Signals Openness to International Expansion4K SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam Priorities
AtlasFinancial ADVSR
Open free

Registered advisors

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

  1. 398,301Registered advisersEvery investment adviser representative
  2. 304,895Dually registered77% are also broker reps
  3. 93,406Adviser onlyNot registered with a broker-dealer
  4. 25,639FirmsWhere they're registered
  5. 56,898CFPs11,003 CFAs, 12,693 ChFCs

From the SEC’s compilation report of October 24, 2026, refreshed every morning. +89 since the file before. 53 firm joins and 232 departures in the latest file. 11 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

11 advisors

Unlock all 11
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Avi J. BialoEncino, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2013
2Nicholas G. BoetjerArroyo Grande, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2006
3Richard R. BrownValley Village, CAArete Wealth Advisors, LLCAdviser and broker–Atlas1997
4Daniel L. DiazLos Gatos, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2019
5Miao Ling GuanSan Francisco, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2022
6David C. HockSan Luis Obispo, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2001
7Shih Hua LiuSan Francisco, CAArete Wealth Advisors, LLCAdviser and broker–Atlas2013
8David MarSan Francisco, CAArete Wealth Advisors, LLCAdviser and broker–Atlas1999
9Matthew E. RobersonLos Gatos, CAArete Wealth Advisors, LLCAdviser and brokerCFPAtlas2000
10Kinta M. SmithCentury City, CAArete Wealth Advisors, LLC +1 moreAdviser and brokerCFPAtlas2009

1 more advisors match.

Atlas lists every one, with when they joined their firm, their full career and branch office, and exports the list.

Open Atlas free

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.