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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. 398,301Registered advisersEvery investment adviser representative
  2. 304,895Dually registered77% are also broker reps
  3. 93,406Adviser onlyNot registered with a broker-dealer
  4. 25,639FirmsWhere they're registered
  5. 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. 8 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

8 advisors

Unlock all 8
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Jeffrey L. BriggsRochester, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2005
2Donald B. Brown Jr.Rochester, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2021
3Brian A. CohenMelville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2020
4Scott A. GerhamMelville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2021
5James B. MoranMelville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2006
6John P. OlearyMelville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2003
7Thomas O. PekarFarmingville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2004
8Timothy J. ScherwaMelville, NYCapitol Securities Management, Inc.Adviser and broker–Atlas2002

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.