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FinancialADVSR

Est. 2026The front page of wealth managementNew York

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4K Social Security Database Cleanup Corrects 50 Million RecordsRB 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 Priorities
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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. 398,301Registered 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. 7 match your filters. Broker-only representatives are on FINRA BrokerCheck and aren’t included.

7 advisors

Unlock all 7
AdvisorFirmRegistrationDesignationsJoined firmRegistered since
1John CerilliProvidence, RICharles Schwab & Co., Inc.Adviser and broker–Atlas2018
2Patrick M. CiummoGlendale, RICharles Schwab & Co., Inc.Adviser and broker–Atlas2011
3Kimberly A. CrespiProvidence, RICharles Schwab & Co., Inc.Adviser and brokerCFPAtlas2006
4Benjamin S. GreeneProvidence, RICharles Schwab & Co., Inc.Adviser and brokerCFPAtlas2010
5Tiffani L. LearyProvidence, RICharles Schwab & Co., Inc.Adviser and broker–Atlas2017
6Cristopher R. Llopiz OsorioProvidence, RICharles Schwab & Co., Inc.Adviser and broker–Atlas2021
7Michael J. RozzeroProvidence, RICharles Schwab & Co., Inc.Adviser and broker–Atlas2023

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.