DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Alec Bruce Abbott

The Norden Group LLCindependent RIANewport Beach, Ca IA-onlyIAPD 1414999

Feed of 09/15/2026

At current firm

2 y

since May 31, 2024

In the industry

35 y

since Feb 11, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

The Norden Group LLC independent RIA current
since May 31, 2024 · Provo, Ut
Baker Tilly Wealth Management, LLC mixed wealth
Nov 2, 2020 to May 31, 2024 · Madison, Wi
Sunamerica Securities, Inc. unclassified
Jan 4, 2005 to Jan 5, 2005 · Newport Beach, Ca
Smart Investments Advisory Incorporated state registered
Apr 30, 2001 to Dec 15, 2004 · Newport Beach, Ca
Squar Milner Financial Services, LLC former
Jun 26, 2000 to Dec 22, 2020 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

Baker Tilly Wealth Management, LLC to The Norden Group LLC
left May 31, 2024, registered May 31, 2024 (0 days) · RIA to RIA
Squar Milner Financial Services, LLC to Smart Investments Advisory Incorporated
left Dec 22, 2020, registered Apr 30, 2001 (-7176 days) · RIA to a state-registered adviser · moved with a team
Sunamerica Securities, Inc. to Baker Tilly Wealth Management, LLC
left Jan 5, 2005, registered Nov 2, 2020 (5780 days) · Other
Smart Investments Advisory Incorporated to Sunamerica Securities, Inc.
left Dec 15, 2004, registered Jan 4, 2005 (20 days) · Other

Signals

Alec Bruce Abbott left Baker Tilly Wealth Management, Llc for The Norden Group Llc (registered 2024-05-31)
May 31, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address