Register Financial

What Register Financial does

Register Financial is an Atlanta-headquartered, employee-owned independent wealth management firm operating through a dual-registered structure: Register Financial Associates, Inc., an SEC-registered broker-dealer and FINRA/MSRB/SIPC member, and Register Financial Advisors, LLC, an SEC-registered investment adviser. Founded in 1992 by George Register, the firm serves high-net-worth individuals, families, business owners, corporate clients, non-profits, and family law attorneys across 36 states from a single Atlanta office. Service offerings span wealth management, investment advisory, corporate retirement plan consulting, restricted securities and stock repurchase programs, and Certified Divorce Financial Analyst (CDFA®) work, with revenue generated through brokerage commissions, recurring advisory fees, and professional services.

The firm is relationship-led rather than technology-led, with no proprietary platforms. Operational technology is sourced from third-party providers: First Clearing (Wells Fargo Clearing Services, LLC) for custody, clearing, and execution; Access Online and SmartStation as client-facing portals; and Envision and eMoney for financial planning. The 17-person team includes credentialed advisors (CFP®, CDFA®, CIMA®, JD, AAMS®) with prior careers at wirehouses including Merrill Lynch, Morgan Stanley, UBS, Bear Stearns, and Wells Fargo, supporting complex advisory mandates involving concentrated stock positions, estate structures, and multi-generational wealth transfer.

Name

Register Financial

Legal name

Register Financial Associates, Inc.

Website

https://registerfinancial.com

Company type

Private

Founded year

1992

Operating status

Operating

Headcount range

11–50 employees

Short description

Register Financial is an Atlanta-based, employee-owned independent wealth management firm operating through a dual-registered broker-dealer and SEC-registered RIA, serving high-net-worth individuals, families, corporations, non-profits, and family law attorneys across 36 states since 1992.

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940), Finance and Insurance (52)

SIC

Investment Advice (6282), Security Brokers, Dealers & Flotation Companies (6211), Security & Commodity Brokers, Dealers, Exchanges & Services (6200)

akta.pro industry

PRIMARYFSAAACAA

Comprehensive/Full-Service RIAs & Independent Wealth Managers

Financial & Insurance/Asset & Wealth Management/Registered Investment Advisors (RIAs) & Independent Wealth Managers

SECONDARYFSAEABAB

Broker-Dealer Affiliated Wealth Advisory

Financial & Insurance/Financial Advisory, Brokerage & Intermediation/Wealth & Retirement Advisory

SECONDARYFSAAACAF

Corporate Retirement Plan Advisory RIAs (ERISA 401(k)/403(b))

Financial & Insurance/Asset & Wealth Management/Registered Investment Advisors (RIAs) & Independent Wealth Managers

Keywords

• Wealth management services
• Investment advisory
• Broker-dealer services
• Retirement plan consulting
• Divorce financial analysis

Headquarters

HQ city

Atlanta

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure

Revenue model

1. Brokerage Commissions and Fees: Securities transactions, mutual funds, and other investment products through Register Financial Associates, Inc. as a FINRA-registered broker-dealer
2. Investment Advisory Fees: Fee-based wealth management and financial planning services through Register Financial Advisors, LLC as a SEC-registered investment adviser
3. Corporate Retirement Plan Consulting: Retirement plan design, implementation, and management consulting services for corporate clients including 401(k), profit sharing, and other qualified plans

Pricing tiers

Go-to-market motion3 records

Distribution channels1 record

Marketing channels4 records

Core offering

Register Financial delivers personalized wealth management, investment advisory, retirement plan consulting, and corporate finance services through dual SEC-registered entities — Register Financial Associates, Inc. (broker-dealer) and Register Financial Advisors, LLC (RIA). The firm combines brokerage execution, fee-based advisory, retirement plan design, restricted securities/insider 10b5-1 program support, and Certified Divorce Financial Analyst (CDFA) services, primarily for high-net-worth individuals, families, business owners, and corporate clients across 36 states.

Product overview

Register Financial is a dual-entity financial services firm offering wealth management through two integrated platforms: Register Financial Associates, Inc. (a FINRA-registered broker-dealer and SIPC member) and Register Financial Advisors, LLC (an SEC-registered RIA). The core offerings include Wealth Management services for high-net-worth individuals and families, Corporate Services for business retirement plans and corporate finance needs, and a specialized Certified Divorce Financial Analyst (CDFA) service for divorce proceedings. The firm also provides clients with Access Online, a digital portal for account access and management.

Differentiator

Problem solved

Functional benefit

Products and services

• Wealth Management Comprehensive investment management and financial planning services for high-net-worth individuals and families, including investment management, tax-aware strategies, estate planning, business planning, and risk management delivered through dual-registered broker-dealer and RIA entities.
• Corporate Services Retirement plan consulting and corporate financial services for businesses, including qualified retirement plan design and management (401(k), profit sharing, and other qualified plans), corporate stock repurchases, restricted securities sales, insider 10b5-1 trading programs, block trading, and employee stock options/executive equity advisory.
• Certified Divorce Financial Analyst (CDFA) Services Specialized financial analysis service for divorce proceedings, providing expertise in untangling complex financial holdings, modeling long-term outcomes, and tax-sensitive solutions for high-net-worth clients, primarily delivered in partnership with family law attorneys.

Named customers4 records

Segments4 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature2 records

Partnerships

One partnership is on record.

• Wells Fargo Clearing Services, LLC (First Clearing)coreTechnology or IntegrationPrimary clearing and custody partner for Register Financial. First Clearing (Wells Fargo Clearing Services, LLC) provides trade execution, securities clearing, custody services, account statements, tax reporting, and access to technology platforms including Access Online and SmartStation. The relationship enables Register Financial to offer brokerage services without maintaining proprietary clearing infrastructure.

Scale indicators3 records

Recent moves6 records

Expansion highlights6 records

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks5 records

Customer concentration

Compliance4 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles16 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Register Financial