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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. 398,212Registered advisersEvery investment adviser representative
  2. 304,829Dually registered77% are also broker reps
  3. 93,383Adviser onlyNot registered with a broker-dealer
  4. 25,629FirmsWhere they're registered
  5. 56,885CFPs10,996 CFAs, 12,688 ChFCs

From the SEC’s compilation report of October 23, 2026, refreshed every morning. −21,993 since the file before. 47 firm joins and 22,771 departures in the latest file. 29 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

29 advisors

Unlock all 29
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Norman D. AdamsNew York, NYTocqueville Asset Management LPAdviser and broker–Atlas1997
2Michael L. BertashNew York, NYTocqueville Asset Management LPAdviser and broker–Atlas2021
3Nicholas CarlozziNew York, NYTocqueville Asset Management LPAdviser and broker–Atlas2006
4Matthew J. CherashoreNew York, NYTocqueville Asset Management LPAdviser and broker–Atlas2010
5John D. DelafieldNew York, NYTocqueville Asset Management LPAdviser only–Atlas2021
6Lawrence M. FieldsNew York, NYTocqueville Asset Management LPAdviser and broker–Atlas1998
7David T. Harris Jr.New York, NYTocqueville Asset Management LPAdviser and broker–Atlas2021
8James D. Harvey IINew York, NYTocqueville Asset Management LPAdviser only–Atlas2009
9James E. Hunt Jr.New York, NYTocqueville Asset Management LPAdviser and broker–Atlas2021
10Paul J. KleinschmidtNew York, NYTocqueville Asset Management LPAdviser only–Atlas2021

19 more advisors match.

Atlas lists every one, with when they joined their firm, their full career and branch office, and exports the list.

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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.