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. 10 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.
10 advisors
| Advisor | Firm | Registration | Designations | Joined firm | Registered since |
|---|---|---|---|---|---|
| 1Esther L. BodmanCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | Atlas | 2004 |
| 2David E. CaivanoCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | Atlas | 2026 |
| 3Kevin D. JohnsonCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | Atlas | 2024 |
| 4Sidney B. King IIICharlotte, NC | Cornerstone Wealth Planning | Adviser only | CFP | Atlas | 2006 |
| 5Christopher W. KnightCharlotte, NC | Cornerstone Wealth Planning | Adviser only | CFP | Atlas | 2008 |
| 6Shon E. McCarleyCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | Atlas | 2026 |
| 7Joseph M. McFaddinCharlotte, NC | Cornerstone Wealth Planning | Adviser only | CFP | Atlas | 2009 |
| 8Stewart M. NeelyCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | Atlas | 2021 |
| 9Cody B. RitchieCharlotte, NC | Cornerstone Wealth Planning | Adviser only | CFP | Atlas | 2022 |
| 10Benjamin E. SmallCharlotte, NC | Cornerstone Wealth Planning | Adviser only | – | 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.