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Est. 2026The front page of wealth managementNew York

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RB 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 PrioritiesIN RIA M&A runs up to 5x reported totals, Steward Partners CEO says
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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. 398,301Registered 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. 10 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

10 advisors

Unlock all 10
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Bradley BarthSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser only–Atlas2016
2Liping CaiSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser onlyCFAAtlas2015
3Robert T. GardinerSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser onlyCFAAtlas1993
4Tyler J. GlauserSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser only–Atlas2025
5Eric W. HuefnerSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser and broker–Atlas2015
6Todd M. MathenySalt Lake City, UTGrandeur Peak Global AdvisorsAdviser and broker–Atlas2019
7Philip S. NaylorSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser only–Atlas2021
8Kenneth D. NielsonSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser onlyCFAAtlas2021
9Blake H. WalkerSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser only–Atlas2007
10Preston R. WilliamsSalt Lake City, UTGrandeur Peak Global AdvisorsAdviser onlyCFAAtlas2021

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.