CRD #113892 · FINRA BrokerCheck + SEC IAPD

Bluefin Capital Management, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bluefin Capital Management, LLC ranks #340 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #45 of 868 on the same disclosure sort used on the state browse page. Bluefin Capital Management, LLC carries 18 BrokerCheck disclosures across 4 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
18
disclosures
#340 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 113892 Bluefin Capital Management, LLC

Bluefin Capital Management, LLC · Grade C · 18 disc · 4.50/office · Small firm

  • CRD 113892
  • GRADE C
  • DISC 18
  • REG 18
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 4.50
  • RANK #340 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Commerz Markets LLC (4.50 disc/office)

Commerz Markets LLC4.50Gelber Securities, LLC4.50Johnson Rice & Company …4.50Bluefin Capital Man… (this)4.50
Disclosures per office among small firm peers (lower is cleaner)

Bluefin Capital Management, LLC ranks #340 of 20,055 by disclosure count among graded broker-dealers; heavy load at 4.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - 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

4 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

18 actions

100% of all disclosures

Disclosures per office

4.50 per office

18 ÷ 4 offices

Bluefin Capital Management, LLC vs. every disclosing firm

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

5 a cleaner per-office record than 0% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). Below this entry. 4–4: 9 disclosing firms (1%). Below this entry. 4–5: 3 disclosing firms (0%). Below this entry. 5–5: 11 disclosing firms (1%). This entry sits in this band. 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 18
Arbitrations 0
Civil Events 0
Total 18

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

Disclosure category share

Regulatory 18 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
113892

Elevated disclosures per office

Bluefin Capital Management, LLC in the heavier-disclosure third

Bluefin Capital Management, LLC carries 18 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#340 of 20,055). Regulator-initiated events are 100% of the book (18 regulatory / 0 arbitration / 0 civil).

Bluefin Capital Management, LLC runs 4.50 disclosures per branch office (cleaner than only 100% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 2.06× state average

Bluefin Capital Management, LLC sits above the New York disclosure average

Bluefin Capital Management, LLC reports 18 BrokerCheck disclosures, 2.06× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 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 New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Bluefin Capital Management, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Bluefin Capital Management, LLC ranks #340 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #45 of 868 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 C mean for Bluefin Capital Management, LLC?
A grade of C reflects Bluefin Capital Management, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 18 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Bluefin Capital Management, LLC have?
Bluefin Capital Management, LLC has 18 total FINRA disclosures, including 18 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Bluefin Capital Management, LLC?
Bluefin Capital Management, LLC operates 4 branch offices and is classified by FINRA as a small firm, registered in NY (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 Bluefin Capital Management, LLC's disciplinary record?
You can verify Bluefin Capital Management, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 113892. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Bluefin Capital Management, LLC's 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Bluefin Capital Management, 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. Bluefin Capital Management, LLC carries 18 disclosures across 4 branch offices (about 4.50 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 Bluefin Capital Management, LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (18 here).

Hennion & Walsh, Inc. · NJ 18 disc. CTC, LLC · IL 18 disc. First Georgetown Securities, Inc. · VA 18 disc. GMS Group · NJ 18 disc.

Read with this firm

  • Commerz Markets LLC (NY) - 4.50 disclosures/office, nearest small firm peer to Bluefin Capital Management, LLC's 4.50
  • Gelber Securities, LLC (IL) - 4.50 disclosures/office, nearest small firm peer to Bluefin Capital Management, LLC's 4.50
  • Johnson Rice & Company L.L.C. (LA) - 4.50 disclosures/office, nearest small firm peer to Bluefin Capital Management, LLC's 4.50
  • Firms in NY - state roster that includes Bluefin Capital Management, LLC's registration home.
  • Red Flags in Advisor Records - How to read Bluefin Capital Management, LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 18 disclosures behind Bluefin Capital Management, LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Bluefin Capital Management, LLC.
  • Compare firms - put Bluefin Capital Management, LLC next to peers on grade and footprint.

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.