Branch offices
0 offices
FINRA: Small firm
CRD #158871 · FINRA BrokerCheck + SEC IAPD
Xambala Capital, LLC
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Xambala Capital, LLC ranks #811 of 20,055 by disclosure count (most disclosures first). Xambala Capital, LLC carries 9 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade D.
- Grade D
- Safety grade
- 0
- branch offices
- 9
- disclosures
- #811 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 158871 Xambala Capital, LLC
Xambala Capital, LLC · Grade D · 9 disc · 9.00/office · Single-office firm
- CRD 158871
- GRADE D
- DISC 9
- REG 9
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #811 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: Allen Douglas Securities, Inc. (9.00 disc/office)
Xambala Capital, LLC ranks #811 of 20,055 by disclosure count among graded broker-dealers; heavy load at 9.00 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
9 events
On FINRA BrokerCheck
Regulatory events
9 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 9 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 9 |
Counts for Xambala Capital, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 9 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 10/22/2008
- State of Formation
- Delaware
- CRD Number
- 158871
- SEC Number
- 68933
Regulator-heavy mix
Xambala Capital, LLC in the heavier-disclosure third
Xambala Capital, LLC carries 9 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#811 of 20,055). Regulator-initiated events are 100% of the book (9 regulatory / 0 arbitration / 0 civil).
100% of Xambala Capital, LLC's 9 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Xambala Capital, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Xambala Capital, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Xambala Capital, LLC ranks #811 of 20,055 by disclosure count (most disclosures first). 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 Xambala Capital, LLC?
A grade of D reflects Xambala Capital, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 9 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Xambala Capital, LLC have?
Xambala Capital, LLC has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Xambala Capital, LLC?
Xambala Capital, LLC operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 Xambala Capital, LLC's disciplinary record?
You can verify Xambala Capital, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 158871. 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). Xambala Capital, LLC's 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Xambala 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. Xambala Capital, LLC carries 9 disclosures across 0 branch offices (about 9.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- Allen Douglas Securities, Inc. - 9.00 disclosures/office, nearest single-office firm peer to Xambala Capital, LLC's 9.00
- American Portfolios Financial Services, Inc. - 9.00 disclosures/office, nearest single-office firm peer to Xambala Capital, LLC's 9.00
- Amerifinancial - 9.00 disclosures/office, nearest single-office firm peer to Xambala Capital, LLC's 9.00
- Red Flags in Advisor Records - How to read Xambala Capital, LLC's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 9 disclosures behind Xambala Capital, LLC's Grade D.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Xambala Capital, LLC.
- Compare firms - put Xambala 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.