Broker-Dealer Firms
80,028 registered firms in FINRA BrokerCheck database Data from FINRA BrokerCheck and the SEC Investment Adviser Public Disclosure (IAPD), covering registered firms across all 50 states; see our methodology.
A 14,984 (74.7%)
B 3,006 (15.0%)
C 1,078 (5.4%)
D 737 (3.7%)
F 250 (1.2%)
Firms are graded on a size-normalized scale: a clean record earns an A, while firms with disclosures are ranked by disclosure intensity per branch office against same-size peers.
Sort and filter the full register below, or read the grade methodology.
| Firm Name ↕ | State | Disclosures ↕ | Offices ↕ | Grade | Status |
|---|---|---|---|---|---|
| Rhoads Financial Group, Inc. CRD: 16317 | - | 0 | 0 | A | INACTIVE |
| Rhodes Capital Management, Inc. CRD: 159380 | - | 0 | 1 | - | Unknown |
| Rhodes Consulting Group LLC CRD: 154243 | - | 0 | 1 | - | Unknown |
| Rhodes Investment Advisors, Inc. CRD: 114245 | - | 0 | 4 | - | Unknown |
| Rhodes Securities, Inc. CRD: 19610 | TX | 4 | 6 | B | Active |
| Rhodeway Financial CRD: 323707 | - | 0 | 1 | - | Unknown |
| Rhodium Capital Management, LLC CRD: 332919 | - | 0 | 1 | - | Unknown |
| Rhodo Wealth Management LLC CRD: 331240 | - | 0 | 1 | - | Unknown |
| Rhodon Investment Management Limited CRD: 311139 | - | 0 | 0 | - | Unknown |
| Rhodon Investment Management Limited CRD: 339700 | - | 0 | 0 | - | Unknown |
| Rhonda L Russell CRD: 114268 | - | 0 | 1 | - | Unknown |
| Rhone Group Advisors LLC CRD: 106342 | NY | 0 | 2 | A | Active |
| Rhone Group L.L.C. CRD: 161731 | - | 0 | 1 | - | Unknown |
| Rhone Group L.L.C. CRD: 41752 | - | 0 | 0 | A | INACTIVE |
| Rhone VC LLC CRD: 331453 | - | 0 | 1 | - | Unknown |
| Rhotopia Financial Advisors CRD: 330618 | - | 0 | 1 | - | Unknown |
| RHP Wealth Management CRD: 304735 | - | 0 | 3 | - | Unknown |
| RHS & Associates CRD: 125826 | - | 0 | 0 | - | Unknown |
| RHS Financial, LLC CRD: 149435 | - | 0 | 1 | - | Unknown |
| Rhubarb Investments, LLC CRD: 283814 | - | 0 | 1 | - | Unknown |
| Rhumbline Advisers CRD: 107151 | - | 0 | 1 | - | Unknown |
| RHYTHM Capital LLC CRD: 281889 | - | 0 | 0 | - | Unknown |
| Rhythmic Capital Management LLC CRD: 154165 | - | 0 | 0 | - | Unknown |
| RI Capital Advisors Ltd. CRD: 289471 | - | 0 | 0 | - | Unknown |
| RIA Advisors CRD: 150661 | - | 0 | 2 | - | Unknown |
| RIA Advisory Group, LLC CRD: 152566 | - | 0 | 21 | - | Unknown |
| RIA Independence LLC CRD: 316598 | - | 0 | 0 | - | Unknown |
| RIA Wealth Advisors, LLC CRD: 312072 | - | 0 | 4 | - | Unknown |
| Rialcor/Shatkin Securities Corp. CRD: 15930 | - | 0 | 0 | A | INACTIVE |
| Rialto Capital Management, LLC CRD: 159998 | - | 0 | 1 | - | Unknown |
| Rialto Markets LLC CRD: 283477 | FL | 1 | 2 | B | Active |
| Rialto Wealth Management CRD: 319411 | - | 0 | 1 | - | Unknown |
| Riata Capital Group, LLC CRD: 289948 | - | 0 | 1 | - | Unknown |
| Riazzi Asset Management, LLC CRD: 143745 | - | 0 | 0 | - | Unknown |
| Ribbit Capital CRD: 165308 | - | 0 | 1 | - | Unknown |
| Ribera Investment Management, LLC CRD: 124694 | - | 0 | 1 | - | Unknown |
| Ribson Inc. CRD: 10678 | - | 0 | 0 | A | INACTIVE |
| RIC Komarek, CFP CRD: 152947 | - | 0 | 1 | - | Unknown |
| Ricap Asset Management, Ltd. CRD: 140766 | - | 0 | 0 | - | Unknown |
| Riccardi Securities Inc CRD: 7847 | - | 0 | 0 | A | INACTIVE |
| Riccio & Associates CRD: 304972 | - | 0 | 1 | - | Unknown |
| Riccio & Associates, LLC CRD: 226684 | - | 0 | 0 | - | Unknown |
| Rice Brown Financial Services CRD: 148312 | - | 0 | 0 | - | Unknown |
| Rice Capital Management Company, LLC CRD: 333163 | - | 0 | 1 | - | Unknown |
| Rice Financial Consulting, Inc. CRD: 170346 | - | 0 | 1 | - | Unknown |
| Rice Financial Products Company CRD: 21606 | TN | 6 | 8 | B | Active |
| Rice Hall James & Associates LLC CRD: 125410 | - | 0 | 5 | - | Unknown |
| Rice Investment Advisory Services, Inc CRD: 150096 | - | 0 | 0 | - | Unknown |
| Rice Money Managers, Inc. CRD: 113707 | - | 0 | 0 | - | Unknown |
| Rice Park Capital CRD: 304990 | - | 0 | 1 | - | Unknown |