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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. 6 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

6 advisors

Unlock all 6
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Carlos A. Da GamaMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas2024
2Henry De ValleMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas1998
3Manuel M. Del CanalMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas2003
4Anthony D. PantojaMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas2026
5Juan P. PenalozaMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas2021
6Alexandra RumieMiami, FLOcean Financial Advisors LLCAdviser and broker–Atlas2006

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.