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FinancialADVSR

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. 398,323Registered advisersEvery investment adviser representative
  2. 304,914Dually registered77% are also broker reps
  3. 93,409Adviser onlyNot registered with a broker-dealer
  4. 25,637FirmsWhere they're registered
  5. 56,898CFPs11,004 CFAs, 12,692 ChFCs

From the SEC’s compilation report of October 25, 2026, refreshed every morning. +22 since the file before. 1 firm join and 27 departures in the latest file. 6 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

6 advisors

Unlock all 6
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1David W. BowenTucson, AZSouthwest Investment Advisors, Inc.Adviser and brokerCFPAtlas2024
2Jacob L. BrownTucson, AZSouthwest Investment Advisors, Inc.Adviser and broker–Atlas2026
3Andrew J. ClarkeTucson, AZSouthwest Investment Advisors, Inc.Adviser and broker–Atlas2026
4Alexandra F. KuslerTucson, AZSouthwest Investment Advisors, Inc.Adviser and broker–Atlas2011
5Douglas H. RieggerTucson, AZSouthwest Investment Advisors, Inc.Adviser and broker–Atlas2024
6Richard J. ZichTucson, AZSouthwest Investment Advisors, Inc.Adviser and broker–Atlas2019

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.