Branch offices
2 offices
FINRA: Small firm
CRD #128375 · FINRA BrokerCheck + SEC IAPD
Ridgeview Capital, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ridgeview Capital, LLC ranks #16,448 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #25 of 29 on the same disclosure sort used on the state browse page. Ridgeview Capital, LLC has a clean FINRA BrokerCheck record, no reportable disclosures across its 2 branch offices, earning a Grade A.
- Grade A
- Safety grade
- 2
- branch offices
- 0
- disclosures
- #16,448 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 128375 Ridgeview Capital, LLC
Ridgeview Capital, LLC · Grade A · 0 disc · 0.00/office · Small firm
- CRD 128375
- GRADE A
- DISC 0
- REG 0
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 0.00
- RANK #16,448 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: 1031 Securities Inc. (0.00 disc/office)
Ridgeview Capital, LLC ranks #16,448 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 ÷ 2 offices
Clean disclosure surface
Ridgeview Capital, LLC has zero reportable FINRA BrokerCheck disclosures in this extract across 2 branch offices (Grade A). Verify on FINRA BrokerCheck ↗
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Salt Lake City, UT
- CRD Number
- 128375
Clean BrokerCheck surface
Ridgeview Capital, LLC's clean BrokerCheck surface
Ridgeview Capital, LLC shows a clean FINRA BrokerCheck surface: zero reportable disclosures on 2 branch offices (Grade A).
Ridgeview Capital, LLC shows zero reportable disclosures across 2 branch offices in this extract. Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Ridgeview Capital, LLC's clean BrokerCheck surface - not financial advice. Always verify on FINRA before engaging an advisor.
Utah cohort · 0.00× state average
Ridgeview Capital, LLC sits below the Utah disclosure average
Ridgeview Capital, LLC reports 0 BrokerCheck disclosures, 0.00× the Utah average of 2.5, lighter than most of the 29 graded firms filed there.
In Utah, 20 firms carry Grade A and 1 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 Utah state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Ridgeview Capital, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Ridgeview Capital, LLC ranks #16,448 of 20,055 by disclosure count (most disclosures first). Among firms registered in UT, it ranks #25 of 29 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 Ridgeview Capital, LLC?
A grade of A means Ridgeview Capital, 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 Ridgeview Capital, LLC have?
Ridgeview Capital, LLC has 0 total FINRA disclosures. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Ridgeview Capital, LLC?
Ridgeview Capital, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in UT (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 Ridgeview Capital, LLC's disciplinary record?
You can verify Ridgeview Capital, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 128375. 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. Ridgeview Capital, LLC currently shows none - that is a clean surface, not a guarantee that future events will not appear.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Ridgeview Capital, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Ridgeview Capital, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Ridgeview Capital, LLC's 0.00
- Firms in UT - state roster that includes Ridgeview Capital, LLC's registration home.
- How to Vet a Financial Advisor - Use Ridgeview Capital, LLC's clean BrokerCheck surface as the baseline when you compare other firms.
- Reading BrokerCheck Reports - What a Grade A page like Ridgeview Capital, LLC's does and does not prove.
- Clean-Record Firms - Other Grade-A firms ranked by footprint alongside Ridgeview Capital, LLC.
- Compare firms - put Ridgeview Capital, 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.