Registered advisors
Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.
- 398,301Registered advisersEvery investment adviser representative
- 304,895Dually registered77% are also broker reps
- 93,406Adviser onlyNot registered with a broker-dealer
- 25,639FirmsWhere they're registered
- 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. 9 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.
9 advisors
| Advisor | Firm | Registration | Designations | Joined firm | Registered since |
|---|---|---|---|---|---|
| 1Derrick J. AllenChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2022 |
| 2Timothy J. DebruyneChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2004 |
| 3Joseph G. HetlandChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2014 |
| 4Brewster W. LindbladChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2013 |
| 5Alberto LizChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2015 |
| 6Frank B. MillerChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2023 |
| 7Ryan T. ShaughnessyChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2005 |
| 8Collin J. WegenerChicago, IL | The Mosaic Financial Group, LLC | Adviser only | – | Atlas | 2023 |
| 9Jane-Ellen M. WolakChicago, IL | The Mosaic Financial Group, LLC | Adviser only | CFP | Atlas | 2000 |
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.