Branch offices
2 offices
FINRA: Small firm
CRD #146310 · FINRA BrokerCheck + SEC IAPD
Sumo Capital, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sumo Capital, LLC ranks #275 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #13 of 200 on the same disclosure sort used on the state browse page. Sumo Capital, LLC carries 22 BrokerCheck disclosures across 2 branch offices - heavy load for a small firm, earning a Grade D.
- Grade D
- Safety grade
- 2
- branch offices
- 22
- disclosures
- #275 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 146310 Sumo Capital, LLC
Sumo Capital, LLC · Grade D · 22 disc · 11.00/office · Small firm
- CRD 146310
- GRADE D
- DISC 22
- REG 22
- ARB 0
- CIV 0
- BRANCH 2
- PER-OFF 11.00
- RANK #275 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Group ONE Trading LLC (11.00 disc/office)
Sumo Capital, LLC ranks #275 of 20,055 by disclosure count among graded broker-dealers; heavy load at 11.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 2/5 - 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
22 events
On FINRA BrokerCheck
Regulatory events
22 actions
100% of all disclosures
Disclosures per office
11.00 per office
22 ÷ 2 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Sumo Capital, LLC - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 22 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 22 |
Counts for Sumo Capital, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 22 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- ACTIVE
- Location
- Chicago, IL
- CRD Number
- 146310
Regulator-heavy mix
Sumo Capital, LLC in the heavier-disclosure third
Sumo Capital, LLC carries 22 BrokerCheck disclosures across 2 branch offices - a heavier-third raw book among graded firms (#275 of 20,055). Regulator-initiated events are 100% of the book (22 regulatory / 0 arbitration / 0 civil).
100% of Sumo Capital, LLC's 22 disclosures are regulator-initiated (22 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Sumo Capital, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Illinois cohort · 4.32× state average
Sumo Capital, LLC sits above the Illinois disclosure average
Sumo Capital, LLC reports 22 BrokerCheck disclosures, 4.32× the Illinois average of 5.1 across 200 graded firms with a principal-office state on file.
In Illinois, 99 firms carry Grade A and 8 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 Illinois state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Sumo Capital, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Sumo Capital, LLC ranks #275 of 20,055 by disclosure count (most disclosures first). Among firms registered in IL, it ranks #13 of 200 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 D mean for Sumo Capital, LLC?
A grade of D reflects Sumo Capital, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 22 total disclosures across 2 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Sumo Capital, LLC have?
Sumo Capital, LLC has 22 total FINRA disclosures, including 22 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Sumo Capital, LLC?
Sumo Capital, LLC operates 2 branch offices and is classified by FINRA as a small firm, registered in IL (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 Sumo Capital, LLC's disciplinary record?
You can verify Sumo Capital, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 146310. 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). Sumo Capital, LLC's 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Sumo 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. Sumo Capital, LLC carries 22 disclosures across 2 branch offices (about 11.00 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 Sumo Capital, LLC, both outside IL 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 (22 here).
Read with this firm
- Group ONE Trading LLC (IL) - 11.00 disclosures/office, nearest small firm peer to Sumo Capital, LLC's 11.00
- Speedtrader, Inc (NY) - 11.00 disclosures/office, nearest small firm peer to Sumo Capital, LLC's 11.00
- Citadel Securities LLC (FL) - 10.86 disclosures/office, nearest small firm peer to Sumo Capital, LLC's 11.00
- Firms in IL - state roster that includes Sumo Capital, LLC's registration home.
- Red Flags in Advisor Records - How to read Sumo Capital, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 22 disclosures behind Sumo Capital, LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Sumo Capital, LLC.
- Compare firms - put Sumo Capital, 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.