CRD #115333 · FINRA BrokerCheck + SEC IAPD

Baker Tilly Capital, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Baker Tilly Capital, LLC ranks #3,453 of 20,055 by disclosure count (most disclosures first). Among firms registered in WI, it ranks #13 of 23 on the same disclosure sort used on the state browse page. Baker Tilly Capital, LLC carries 1 BrokerCheck disclosure across 6 branch offices - light load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
6
branch offices
1
disclosure
#3,453 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 115333 Baker Tilly Capital, LLC

Baker Tilly Capital, LLC · Grade B · 1 disc · 0.17/office · Small firm

  • CRD 115333
  • GRADE B
  • DISC 1
  • REG 1
  • ARB 0
  • CIV 0
  • BRANCH 6
  • PER-OFF 0.17
  • RANK #3,453 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: FSB Premier Wealth Management, Inc. (0.17 disc/office)

FSB Premier Wealth Mana…0.17Greenhill & Co., LLC0.17Hunter Associates LLC0.17Baker Tilly Capital… (this)0.17
Disclosures per office among small firm peers (lower is cleaner)

Baker Tilly Capital, LLC ranks #3,453 of 20,055 by disclosure count among graded broker-dealers; light load at 0.17 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - 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

Branch offices

6 offices

FINRA: Small firm

Total disclosures

1 event

On FINRA BrokerCheck

Regulatory events

1 action

100% of all disclosures

Disclosures per office

0.17 per office

1 ÷ 6 offices

Baker Tilly Capital, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 79% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 1
Arbitrations 0
Civil Events 0
Total 1

Counts for Baker Tilly Capital, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 1 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Madison, WI
CRD Number
115333

Regulator-heavy mix

Baker Tilly Capital, LLC in the heavier-disclosure third

Baker Tilly Capital, LLC carries 1 BrokerCheck disclosure across 6 branch offices - a heavier-third raw book among graded firms (#3,453 of 20,055). Regulator-initiated events are 100% of the book (1 regulatory / 0 arbitration / 0 civil).

100% of Baker Tilly Capital, LLC's 1 disclosures are regulator-initiated (1 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Baker Tilly Capital, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Wisconsin cohort · 0.19× state average

Baker Tilly Capital, LLC sits below the Wisconsin disclosure average

Baker Tilly Capital, LLC reports 1 BrokerCheck disclosure, 0.19× the Wisconsin average of 5.3, lighter than most of the 23 graded firms filed there.

In Wisconsin, 7 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 Wisconsin state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Baker Tilly Capital, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Baker Tilly Capital, LLC ranks #3,453 of 20,055 by disclosure count (most disclosures first). Among firms registered in WI, it ranks #13 of 23 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 B mean for Baker Tilly Capital, LLC?
A grade of B reflects Baker Tilly Capital, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 1 total disclosure across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Baker Tilly Capital, LLC have?
Baker Tilly Capital, LLC has 1 total FINRA disclosure, including 1 regulatory event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Baker Tilly Capital, LLC?
Baker Tilly Capital, LLC operates 6 branch offices and is classified by FINRA as a small firm, registered in WI (Small 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 Baker Tilly Capital, LLC's disciplinary record?
You can verify Baker Tilly Capital, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 115333. 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 record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Baker Tilly Capital, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Baker Tilly Capital, LLC carries 1 disclosure across 6 branch offices (about 0.17 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Baker Tilly Capital, LLC, both outside WI so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.