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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. 398,301Registered 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
1Patrick J. BrazellEncinitas, CABalboa Wealth Partners, Inc.Adviser only–Atlas2024
2Richard B. BrydgesCoronado, CABalboa Wealth Partners, Inc.Adviser only–Atlas1999
3John G. DayNewport Beach, CABalboa Wealth Partners, Inc.Adviser onlyCFP, ChFCAtlas2017
4Michael R. FragerLa Jolla, CABalboa Wealth Partners, Inc.Adviser and brokerChFCAtlas2004
5Joseph A. Ganino IIIEncinitas, CABalboa Wealth Partners, Inc.Adviser only–Atlas2024
6Paul OhNewport Beach, CABalboa Wealth Partners, Inc.Adviser only–Atlas2017
7Richard A. RivaNewport Beach, CABalboa Wealth Partners, Inc.Adviser and broker–Atlas2001
8Richard J. RockLaguna Niguel, CABalboa Wealth Partners, Inc.Adviser and broker–Atlas2003
9Rodolfo RodriguezSan Diego, CABalboa Wealth Partners, Inc.Adviser and broker–Atlas2004
10John VilinaNewport Beach, CABalboa Wealth Partners, Inc.Adviser only–Atlas2018

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.