SEC-registered wealth management firm Broker-dealer affiliated
Register Financial Advisors, LLC
As of its Form ADV filed July 20, 2026, Register Financial Advisors, LLC, an SEC-registered, broker-dealer affiliated wealth management firm in Atlanta, Georgia, reported $488.5 million in regulatory assets under management across 850 accounts, ranking #86 among all wealth firms in Georgia by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 143884
- SEC file number
- 801-81190
- Registered since
- April 17, 2015
- Latest Form ADV filing
- July 20, 2026
- Organized as
- Limited Liability Company
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $488.5 million
- Discretionary
- $394.6 million (80.8%)
- Non-discretionary
- $93.8 million
- Accounts
- 850 (687 discretionary)
- Clients
- 433, approximate as reported
- Employees
- 15
- Advisory staff
- 12 performing investment advisory functions
- Average account
- $574,652
- Asset growth, 1 year
- 23.1% (from $396.9 million a year earlier)
- Asset growth, 3-year annual rate
- 32.3% (from $210.8 million three years earlier)
- Asset growth, 5-year annual rate
- 25.9% (from $154.2 million five years earlier)
- Client growth, 1 year
- 6.7% (from 406)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $118.7 million |
| October 3, 2011 | $122.3 million |
| October 1, 2015 | $117.0 million |
| October 3, 2016 | $117.2 million |
| October 2, 2017 | $107.7 million |
| October 1, 2018 | $134.9 million |
| October 1, 2019 | $102.9 million |
| October 1, 2020 | $123.8 million |
| October 4, 2021 | $154.2 million |
| October 3, 2022 | $201.1 million |
| October 5, 2023 | $210.8 million |
| October 1, 2024 | $296.1 million |
| September 2, 2025 | $396.9 million |
| October 2, 2026 | $488.5 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 136 clients | $342.1 million | |
| Individuals (other than high net worth) 297 clients | $131.2 million | |
| Pension and profit sharing plans fewer than 5 clients | $7.8 million | |
| Corporations or other businesses fewer than 5 clients | $7.4 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 1-10.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Insurance company or agency
Custody (Item 9)
The firm reported no custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 15
- Also registered through a broker-dealer
- 14
- Employees who are IARs (Form ADV 5.B(3))
- 5
Designations held by the firm's IARs: CFP 2.
0 of the firm's 15 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 2 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Georgia
| Firm | City | RAUM |
|---|---|---|
| First Advisors National, LLC | Atlanta | $505.9 million |
| Investors Asset Management of Georgia Inc | Atlanta | $502.0 million |
| HC Advisors LLC | Sandy Springs | $500.2 million |
| Paces Ferry Wealth Advisors, LLC | Atlanta | $491.2 million |
| Cape Investment Advisory, Inc. | McDonough | $473.7 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Register Financial Advisors, LLC on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.registerfinancial.com
- Wealth management firms in Georgia
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.