Register Financial
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.
- Company typePrivate
- Founded1992
- HeadquartersAtlanta, United States
- Headcount11–50
- GTM typeB2B and B2C
- OfferingServices
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.
Register Financial firmographics
Firmographics- 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
Register Financial industry classification
Industry- 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 primary industry
- Comprehensive/Full-Service RIAs & Independent Wealth Managers (FSAAACAA)
- akta.pro secondary industries
- Broker-Dealer Affiliated Wealth Advisory (FSAEABAB), Corporate Retirement Plan Advisory RIAs (ERISA 401(k)/403(b)) (FSAAACAF)
Keywords
Where Register Financial is headquartered
LocationHeadquarters
- HQ city
- Atlanta
- HQ country
- United States
- HQ region
- North America
Offices1 record
Markets served
Register Financial business model
Business model- GTM type
- B2B and B2C
- Offering type
- Services
- Cost components
- Personnel, Operations, Technology or R&D, Marketing or Sales, Infrastructure
Revenue model
- Brokerage Commissions and Fees: Securities transactions, mutual funds, and other investment products through Register Financial Associates, Inc. as a FINRA-registered broker-dealer
- Investment Advisory Fees: Fee-based wealth management and financial planning services through Register Financial Advisors, LLC as a SEC-registered investment adviser
- 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
| Model | Billing | Price |
|---|---|---|
| Other | Annual | Bespoke advisory services with individualized fee structures |
Go-to-market motion3 records
Distribution channels1 record
Marketing channels4 records
Register Financial product offering
Product offeringCore 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.
Companies that use Register Financial
Customer profileNamed customers4 records
Segments4 records
Ideal customer profiles3 records
Register Financial technology and API
TechnologyTechnology focussed No
API detail
- Has API
- No
- API docs
- API detail
Core technology
AI maturity
App detail
Feature2 records
Register Financial partnerships and signals
Strategic signalPartnerships
One partnership is on record.
- Wells Fargo Clearing Services, LLC (First Clearing)corePrimary 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
Register Financial competitors and assessment
Company assessmentMarket position
Strengths5 records
Weaknesses5 records
Competitive moat5 records
Key risks5 records
Customer concentration
Register Financial compliance and trust
Trust signalCompliance4 records
Register Financial financial estimates
Financial estimateRevenue estimate
Valuation estimate
Register Financial leadership team
Management profileNumber of profiles
Profiles16 records
Register Financial funding detail
Funding detailFunding overview
Funding rounds
Investors
Funding detail is available on the Subscription and Enterprise plan.Contact sales →
Register Financial M&A and investment
M&A and investmentM&A
Investments
M&A and investment is available on the Subscription and Enterprise plan.Contact sales →
Frequently asked questions about Register Financial
What does Register Financial do?
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.
Is Register Financial a public or private company?
Register Financial is a private company. It is classified as management employee owned and is currently operating.
When was Register Financial founded?
Register Financial was founded in 1992. It employs 11 to 50 people.
Where is Register Financial based?
Register Financial is headquartered in Atlanta, United States, in the North America region.
How does Register Financial make money?
Three revenue lines are on record. Brokerage Commissions and Fees are the primary driver. The others are investment Advisory Fees and corporate Retirement Plan Consulting.
Does Register Financial have an API?
No public API is recorded for Register Financial.
What industry is Register Financial in?
Register Financial's product category is Wealth Management. Its primary akta.pro industry code is FSAAACAA, Comprehensive/Full-Service RIAs & Independent Wealth Managers, with a secondary code of FSAEABAB, Broker-Dealer Affiliated Wealth Advisory. Its NAICS code is 523940 and its SIC code is 6282.