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RIA / WealthAdvisor35 years in industry

Alec Bruce Abbott

Advisor at THE NORDEN GROUP LLC

Newport Beach, CA | PROVO, UT

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Search this name across graphsid dfx:ria:e9ee8c6d-3378-4d17-ef15-89f1e26b0056

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 26, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THE NORDEN GROUP LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 11, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Feb 11, 1991
First registration: Jun 26, 2000
Dual registered: no
IAPD individual key: 1414999

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THE NORDEN GROUP LLC	Independent wealth	May 31, 2024	n/a	yes	PROVO, UT\|Newport Beach, CA	Current employment
BAKER TILLY WEALTH MANAGEMENT, LLC	Mixed wealth	Nov 2, 2020	May 31, 2024	no	MADISON, WI\|Irvine, CA	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Jan 4, 2005	Jan 5, 2005	no	NEWPORT BEACH, CA	Previous registration
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Apr 30, 2001	Dec 15, 2004	no	NEWPORT BEACH, CA	Previous registration
SQUAR MILNER FINANCIAL SERVICES, LLC	Former SEC adviser	Jun 26, 2000	Dec 22, 2020	no	NEWPORT BEACH, CA\|IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BAKER TILLY WEALTH MANAGEMENT, LLC	THE NORDEN GROUP LLC	May 31, 2024	May 31, 2024	0	Firm change	RIA to RIA
SQUAR MILNER FINANCIAL SERVICES, LLC	SMART INVESTMENTS ADVISORY INCORPORATED	Dec 22, 2020	Apr 30, 2001	-7,176	Firm change after gap	RIA to state RIA
SUNAMERICA SECURITIES, INC.	BAKER TILLY WEALTH MANAGEMENT, LLC	Jan 5, 2005	Nov 2, 2020	5,780	Firm change after gap	Other
SMART INVESTMENTS ADVISORY INCORPORATED	SUNAMERICA SECURITIES, INC.	Dec 15, 2004	Jan 4, 2005	20	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
112483:107778:CA:2020-12-22	Dec 22, 2020	Apr 30, 2001	IRVINE, CA	Firm change after gap

Relationships

Registered with (5)

→ THE NORDEN GROUP LLCRegistered adviserregistration: current employment
May 31, 2024 to presentfactForm ADV
→ BAKER TILLY WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 2, 2020 to May 31, 2024factForm ADV
→ SQUAR MILNER FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 26, 2000 to Dec 22, 2020factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Jan 4, 2005 to Jan 5, 2005factForm ADV
→ SMART INVESTMENTS ADVISORY INCORPORATEDRegistered adviserregistration: previous registration
Apr 30, 2001 to Dec 15, 2004factForm ADV

Dated events

Occurred
May 31, 2024
Advisor changed firm
Alec Bruce Abbott left Baker Tilly Wealth Management, Llc for The Norden Group Llc (registered 2024-05-31)
Form ADVobserved 6 days ago