Registered advisors
Every investment adviser representative in the SEC’s records, each with a profile: firms, branch, career, exams, designations and disclosures.
- 398,212Registered advisersEvery investment adviser representative
- 304,829Dually registered77% are also broker reps
- 93,383Adviser onlyNot registered with a broker-dealer
- 25,629FirmsWhere they're registered
- 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. 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 |
|---|---|---|---|---|---|
| 1Natalie ColleyNew York, NY | Francis Financial | Adviser only | CFP | Atlas | 2021 |
| 2Stacy A. FrancisNew York, NY | Francis Financial | Adviser only | CFP | Atlas | 2009 |
| 3Michael A. GawlikIngleside, IL | Francis Financial | Adviser only | CFA | Atlas | 2000 |
| 4Matthew J. HaertzenDel Norte, CO | Francis Financial +1 more | Adviser only | CFP, CFA | Atlas | 2012 |
| 5Shweta LawandeNew York, NY | Francis Financial | Adviser only | CFP | Atlas | 2021 |
| 6Madison MountNew York, NY | Francis Financial | Adviser only | CFP | Atlas | 2021 |
| 7Avani RamnaniNew York, NY | Francis Financial | Adviser only | CFP | Atlas | 2007 |
| 8Brenda A. SakonDecatur, GA | Francis Financial | Adviser only | CFP | Atlas | 2021 |
| 9Daniel J. SmithSaline, MI | Francis Financial | Adviser only | CFP | Atlas | 2023 |
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.