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FinancialADVSR

Est. 2026The front page of wealth managementNew York

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KC New IRS Guidance Disallows Some Sec. 351 Exchanges And Puts The ‘Yellow Light’ On Other ETF Strategies: How To Manage The ‘Tax Risk’ Of Tax-Aware InvestingIN Americans score 60 on longevity readiness as care gaps persistIN Clients are using AI to challenge financial advice, Pacific Life survey findsIN RIA M&A veteran joins Accelerated Wealth Partners to drive deal growthIN The 401(k) moment for health benefits may be closer than you thinkIN Advisor moves: Georgia RIA launches after $1.1B breakaway, Carson and Mercer expandIN Agentic AI moves advisory firms beyond the chatbot, executives sayCW LPL revises Commonwealth retention rate to 83% ahead of November conversionIN Leading RIAs – EastCW Opinion: Fast starts are crucial to evergreen fund success
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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. 442,755Registered advisersEvery investment adviser representative
  2. 339,660Dually registered77% are also broker reps
  3. 103,095Adviser onlyNot registered with a broker-dealer
  4. 26,913FirmsWhere they're registered
  5. 64,442CFPs12,236 CFAs, 13,947 ChFCs

From the SEC’s compilation report of October 28, 2026, refreshed every morning. +145 since the file before. 63 firm joins and 168 departures in the latest file. 3 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

3 advisors

Unlock all 3
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Raymond M. BackersLexington, KYQ2 Wealth ManagementAdviser onlyCFPAtlas2015
2Aaron B. CombsLexington, KYQ2 Wealth ManagementAdviser only–Atlas2024
3Jeffrey D. ZiemannLexington, KYQ2 Wealth ManagementAdviser onlyCFPAtlas2022

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.