Saturday, October 24, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB Schwab trumpeted Anthropic's Claude for all 16,000 of its RIAs, but a 20-seat enterprise minimum suddenly sidelines 11,000-plus small firms -- right before IMPACT 2026FP Do smaller RIAs really need to own their data?RB Bank of America analyst 'double' slams Ameriprise not least because RIA 'structural' advantage triggered proactive in-house retention bonuses that take a bite out of margins and may not retain big teams long-termIN Trump to ease 50% Canada tariffs on farm equipment, packaging goodsWM The New Rules of Record Keeper SelectionWM SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, DeepfakesIN People moves: RBC taps Raymond James veteran for Texas complexWM Lido CEO Signals Openness to International Expansion4K SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam PrioritiesIN RIA M&A runs up to 5x reported totals, Steward Partners CEO says
AtlasFinancial ADVSR
Open free

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. 14 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

14 advisors

Unlock all 14
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Amy S. BornBeverly Hills, CASvb WealthAdviser onlyCFP, CFAAtlas2000
2Michael J. ConwaySan Francisco, CAFirst Citizens Investor Services, Inc. +1 moreAdviser and broker–Atlas2011
3Ann T. Duong HuynhMenlo Park, CASvb Wealth +1 moreAdviser and broker–Atlas2021
4Lee V. Erby Jr.Pasadena, CAFirst Citizens Investor Services, Inc. +1 moreAdviser and broker–Atlas2007
5Judy HanMenlo Park, CASvb WealthAdviser only–Atlas2006
6La Shaun HowardSan Francisco, CASvb WealthAdviser and broker–Atlas2024
7Mahshid KamaliBeverly Hills, CASvb WealthAdviser only–Atlas2023
8Carol LeMenlo Park, CASvb WealthAdviser and broker–Atlas2021
9Thomas W. LifsonSan Francisco, CASvb WealthAdviser only–Atlas2005
10Ann M. LucchesiSan Francisco, CASvb WealthAdviser and brokerCFPAtlas2000

4 more advisors match.

Atlas lists every one, with when they joined their firm, their full career and branch office, and exports the list.

Open Atlas free

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.