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FinancialADVSR

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. 398,323Registered advisersEvery investment adviser representative
  2. 304,914Dually registered77% are also broker reps
  3. 93,409Adviser onlyNot registered with a broker-dealer
  4. 25,637FirmsWhere they're registered
  5. 56,898CFPs11,004 CFAs, 12,692 ChFCs

From the SEC’s compilation report of October 25, 2026, refreshed every morning. +22 since the file before. 1 firm join and 27 departures in the latest file. 5 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

5 advisors

Unlock all 5
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Leslie H. DrummondMemphis, TNSummit Asset Management LLCAdviser onlyCFPAtlas2008
2Lance W. HollingsworthMemphis, TNSummit Asset Management LLCAdviser onlyCFPAtlas2004
3John N. LaughlinMemphis, TNSummit Asset Management LLCAdviser onlyCFPAtlas2004
4Soleil K. LumMemphis, TNSummit Asset Management LLCAdviser onlyCFPAtlas2018
5Samuel A. Thompson IIIMemphis, TNSummit Asset Management LLCAdviser onlyChFCAtlas2004

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.