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 |
|---|---|---|---|---|---|
| Rise Financial Group CRD: 284773 | - | 0 | 2 | - | Unknown |
| Rise Financial LLC CRD: 317243 | - | 0 | 0 | - | Unknown |
| Rise Financial Partners CRD: 305637 | - | 0 | 4 | - | Unknown |
| Rise Financial Services, LLC CRD: 146103 | FL | 0 | 3 | A | Active |
| Rise Investment Management, LLC CRD: 300674 | - | 0 | 0 | - | Unknown |
| Rise Investment Management, LLC CRD: 333576 | - | 0 | 1 | - | Unknown |
| Rise North Capital Investment Advisors CRD: 336740 | - | 0 | 7 | - | Unknown |
| Rise Private Wealth Advisors CRD: 309356 | - | 0 | 1 | - | Unknown |
| Rise Retirement, LLC CRD: 299026 | - | 0 | 1 | - | Unknown |
| Rise Together Capital Management LLC CRD: 333977 | - | 0 | 0 | - | Unknown |
| Rise UP Financial LLC CRD: 304066 | - | 0 | 0 | - | Unknown |
| Rise Vest Investments, LLC CRD: 313383 | - | 0 | 0 | - | Unknown |
| Rise Wealth Advisors, Inc. CRD: 123152 | - | 0 | 1 | - | Unknown |
| Rise Wealth Advisors, LLC CRD: 306658 | - | 0 | 0 | - | Unknown |
| Rise Wealth Partners LLC CRD: 327073 | - | 0 | 1 | - | Unknown |
| Rise Wealth Resources, LLC CRD: 311514 | - | 0 | 0 | - | Unknown |
| Risemark Investment Management, LLC CRD: 342061 | - | 0 | 1 | - | Unknown |
| Risemint CRD: 289567 | - | 0 | 0 | - | Unknown |
| Risen Phoenix Capital Advisers, LLC CRD: 337648 | - | 0 | 2 | - | Unknown |
| Riser Financial Education CRD: 284809 | - | 0 | 0 | - | Unknown |
| Riser Investing, LLC CRD: 335089 | - | 0 | 1 | - | Unknown |
| Risevest Financial Securities Limited CRD: 151120 | NY | 0 | 2 | A | Active |
| Rising Advantage, LLC CRD: 314458 | - | 0 | 0 | - | Unknown |
| Rising Capital Inc. CRD: 123233 | - | 0 | 1 | - | Unknown |
| Rising Currents Capital, LLC CRD: 281789 | - | 0 | 0 | - | Unknown |
| Rising Financial CRD: 322105 | - | 0 | 1 | - | Unknown |
| Rising Phoenix Capital CRD: 342604 | - | 0 | 1 | - | Unknown |
| Rising Returns LLC. CRD: 170576 | - | 0 | 0 | - | Unknown |
| Rising SUN Investment Advisers CRD: 309222 | - | 0 | 1 | - | Unknown |
| Rising Tide Financial Solutions LLC CRD: 300036 | - | 0 | 0 | - | Unknown |
| Rising Tide Fund Managers, LLC CRD: 288656 | - | 0 | 0 | - | Unknown |
| Rising Tide Wealth Advisory Solutions LLC CRD: 319630 | - | 0 | 1 | - | Unknown |
| Rising Tide, Inc. CRD: 118516 | - | 0 | 0 | - | Unknown |
| Rising Tides Financial Planning LLC CRD: 333851 | - | 0 | 1 | - | Unknown |
| Rising Tides Financial, LLC CRD: 283308 | - | 0 | 1 | - | Unknown |
| Risk Arbitrage Partners CRD: 10005 | - | 0 | 0 | A | INACTIVE |
| Risk Overlay Associates LLC CRD: 174727 | - | 0 | 2 | - | Unknown |
| Risk Paradigm Group, LLC CRD: 155870 | - | 0 | 3 | - | Unknown |
| Risk Premium Investment Management Company LLC CRD: 173549 | - | 0 | 0 | - | Unknown |
| Riskbridge Advisors, LLC CRD: 310396 | - | 0 | 6 | - | Unknown |
| Riskhedge Analytics, LLC CRD: 296159 | - | 0 | 1 | - | Unknown |
| Riskin Wealth Management, LLC CRD: 306161 | - | 0 | 1 | - | Unknown |
| Riskneutral, LLC CRD: 286116 | - | 0 | 1 | - | Unknown |
| Risley Capital Management LLC CRD: 157271 | - | 0 | 1 | - | Unknown |
| Ristau Capital, LLC CRD: 309325 | - | 0 | 1 | - | Unknown |
| Ritchie Capital Management Sezc, Ltd. CRD: 162047 | - | 0 | 0 | - | Unknown |
| Ritchie Capital Management, L.L.C. CRD: 162048 | - | 0 | 0 | - | Unknown |
| Rite Financial Group CRD: 160924 | - | 0 | 0 | - | Unknown |
| Rithm Capital Advisors LLC CRD: 334244 | - | 0 | 1 | - | Unknown |
| Ritholtz Wealth Management CRD: 168652 | - | 0 | 40 | - | Unknown |