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FinancialADVSR

Est. 2026The front page of wealth managementNew York

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FP Survey: Firms commit to marketing but aren't tracking the resultsFP High mortgage rates complicate the case for paying cash for a homeIN Advisor moves: Raymond James lands $700M Truist duo in FloridaFP Ask an Advisor: What non-AUM metrics do you use to measure your firm's success?SEC SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo TransactionsWM Wealth Firms Urge Patience on Anthropic IPOIN Schwab IMPACT 2026 full conference coverageWM Snowden Lane Settles SEC Charges Over Fee DisclosuresIN RIA M&A could hit an all-time high in 2026, says FP TransitionsIN Wirehouse moves: JPMorgan taps Merrill veteran for Southeast role as BofA beefs up OCIO team
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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. 443,038Registered advisersEvery investment adviser representative
  2. 339,830Dually registered77% are also broker reps
  3. 103,208Adviser onlyNot registered with a broker-dealer
  4. 26,926FirmsWhere they're registered
  5. 64,490CFPs12,240 CFAs, 13,955 ChFCs

From the SEC’s compilation report of October 31, 2026, refreshed every morning. +70 since the file before. 104 firm joins and 218 departures in the latest file. 4 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

4 advisors

Unlock all 4
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1Parth T. BhattFullerton, CAMaaxiom Capital LLC +1 moreAdviser only–Atlas2026
2Peter ChangSanta Rosa, CAKinstead Wealth Management LLCAdviser only–Atlas2026
3William ChauSanta Rosa, CAKinstead Wealth Management LLCAdviser onlyCFAAtlas2026
4Paul S. CockingSanta Rosa, CAKinstead Wealth Management LLCAdviser only–Atlas2026

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.