Branch offices
14 offices
FINRA: Medium firm
CRD #166219 · FINRA BrokerCheck + SEC IAPD
Ares Management Capital Markets LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ares Management Capital Markets LLC ranks #5,845 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #23 of 56 on the same disclosure sort used on the state browse page. Ares Management Capital Markets LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 14 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 14
- branch offices
- 0
- disclosures
- #5,845 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 166219 Ares Management Capital Markets LLC
Ares Management Capital Markets LLC · Grade A · 0 disc · 0.00/office · Regional firm
- CRD 166219
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 14
- PER-OFF 0.00
- RANK #5,845 of 20,055
- BOOK Regional firm
Intensity peers
Nearest same-size peer: ADP Broker-Dealer, Inc. (0.00 disc/office)
Ares Management Capital Markets LLC ranks #5,845 of 20,055 by disclosure count among graded broker-dealers; clean record at 0.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 5/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 14 offices
Clean disclosure surface
Ares Management Capital Markets LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 14 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- Denver, CO
- CRD Number
- 166219
Clean BrokerCheck surface
Ares Management Capital Markets LLC's clean BrokerCheck surface
Ares Management Capital Markets LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 14 branch offices (Grade A).
Ares Management Capital Markets LLC shows zero reportable disclosures across 14 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ares Management Capital Markets LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Colorado cohort · 0.00× state average
Ares Management Capital Markets LLC sits below the Colorado disclosure average
Ares Management Capital Markets LLC reports 0 BrokerCheck disclosures, 0.00× the Colorado average of 1.5, lighter than most of the 56 graded firms filed there.
In Colorado, 37 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Colorado state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Ares Management Capital Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ares Management Capital Markets LLC ranks #5,845 of 20,055 by disclosure count (most disclosures first). Among firms registered in CO, it ranks #23 of 56 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of A mean for Ares Management Capital Markets LLC?
A grade of A means Ares Management Capital Markets LLC has a clean record, no reportable FINRA BrokerCheck disclosures on file. Grades on PlainAdvisorCheck are size-normalized: clean firms earn an A regardless of size.
How many FINRA disclosures does Ares Management Capital Markets LLC have?
Ares Management Capital Markets LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ares Management Capital Markets LLC?
Ares Management Capital Markets LLC operates 14 branch offices and is classified by FINRA as a medium firm, registered in CO (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Ares Management Capital Markets LLC's disciplinary record?
You can verify Ares Management Capital Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 166219. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's BrokerCheck record. Ares Management Capital Markets LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Ares Management Capital Markets LLC, both outside CO so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (14 here).
Read with this firm
- ADP Broker-Dealer, Inc. (NJ) - 0.00 disclosures/office, nearest regional firm peer to Ares Management Capital Markets LLC's 0.00
- AE Financial Services, LLC (KS) - 0.00 disclosures/office, nearest regional firm peer to Ares Management Capital Markets LLC's 0.00
- American Global Wealth Management, Inc. (GA) - 0.00 disclosures/office, nearest regional firm peer to Ares Management Capital Markets LLC's 0.00
- Firms in CO - state roster that includes Ares Management Capital Markets LLC's registration home.
- How to Vet a Financial Advisor - Use Ares Management Capital Markets LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Ares Management Capital Markets LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Ares Management Capital Markets LLC.
- Compare firms - put Ares Management Capital Markets LLC next to peers on grade and footprint.
Read our methodology - clean-record firms: what a Grade A surface does and does not prove.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.