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 |
|---|---|---|---|---|---|
| Rittenhouse Securities, Inc. CRD: 32725 | - | 1 | 0 | B | INACTIVE |
| Rittenhouse Wealth Management, LLC CRD: 315107 | - | 0 | 1 | - | Unknown |
| Ritter Alpha, LP CRD: 300954 | - | 0 | 1 | - | Unknown |
| Ritter Daniher Financial Advisory LLC CRD: 119901 | - | 0 | 0 | - | Unknown |
| Ritter Daniher Financial Advisory LLC CRD: 321827 | - | 0 | 4 | - | Unknown |
| Ritter Investment Company CRD: 34642 | - | 0 | 0 | A | INACTIVE |
| Ritter Wealth Counsel CRD: 107474 | - | 0 | 1 | - | Unknown |
| Rittmann Capital Management Co CRD: 108762 | - | 0 | 2 | - | Unknown |
| Ritual Capital Management Company, LLC CRD: 328031 | - | 0 | 1 | - | Unknown |
| Riva Ridge Capital Management LP CRD: 137716 | - | 0 | 1 | - | Unknown |
| Rivage Investment US LLC CRD: 337592 | - | 0 | 1 | - | Unknown |
| Rival Capital Management, LLC CRD: 332898 | - | 0 | 2 | - | Unknown |
| Rivas Canyon Road Advisers LLC CRD: 284403 | - | 0 | 1 | - | Unknown |
| Rive Capital Advisors LLC CRD: 308357 | - | 0 | 1 | - | Unknown |
| Rive Private Investment S.A. CRD: 170076 | - | 0 | 0 | - | Unknown |
| Rive Private Investment Switzerland S.A. CRD: 291322 | - | 0 | 0 | - | Unknown |
| Rivean Capital B.V. CRD: 162161 | - | 0 | 0 | - | Unknown |
| River Associates Investments (TN), LLC CRD: 158034 | - | 0 | 0 | - | Unknown |
| River Associates Investments, L.P. CRD: 295692 | - | 0 | 1 | - | Unknown |
| River Birch Capital, LLC CRD: 160373 | - | 0 | 0 | - | Unknown |
| River Branch Capital LLC CRD: 153272 | - | 0 | 0 | A | INACTIVE |
| River Canyon Fund Management LLC CRD: 169465 | - | 0 | 1 | - | Unknown |
| River Capital Advisors, LC CRD: 133706 | - | 0 | 0 | - | Unknown |
| River Capital Markets, LLC CRD: 103744 | - | 1 | 0 | B | INACTIVE |
| River Capital, Inc CRD: 163170 | - | 0 | 0 | - | Unknown |
| River City Securities, Inc. CRD: 15618 | - | 0 | 0 | A | INACTIVE |
| River City Wealth Management CRD: 314312 | - | 0 | 1 | - | Unknown |
| River City Wealth Management, LLC CRD: 291483 | - | 0 | 0 | - | Unknown |
| River Crescent Advisors, LLC CRD: 334629 | - | 0 | 2 | - | Unknown |
| River Cross Securites, LLLP CRD: 141919 | - | 0 | 0 | A | INACTIVE |
| River Family Advisors LLC CRD: 298285 | - | 0 | 4 | - | Unknown |
| River Glen Private Capital, LLC CRD: 164344 | - | 0 | 0 | - | Unknown |
| River Glen Wealth Counselors CRD: 147012 | - | 0 | 0 | - | Unknown |
| River Global Investors LLP CRD: 165028 | - | 0 | 0 | - | Unknown |
| River Investment Corp CRD: 122637 | - | 0 | 2 | - | Unknown |
| River North Securities Corp. CRD: 16031 | - | 0 | 0 | A | INACTIVE |
| River OAK Capital Management, LLC CRD: 341811 | - | 0 | 1 | - | Unknown |
| River Oaks Advisors LLC CRD: 158597 | - | 0 | 0 | - | Unknown |
| River Oaks Capital LLC CRD: 168962 | - | 0 | 0 | - | Unknown |
| River Oaks Investment Advisors, LLC CRD: 297553 | - | 0 | 0 | - | Unknown |
| River Oaks Trading, L.P. CRD: 42070 | - | 0 | 0 | A | INACTIVE |
| River Partners Capital Management, LP CRD: 172496 | - | 0 | 1 | - | Unknown |
| River Raisin Investment Partners, Inc. CRD: 298014 | - | 0 | 2 | - | Unknown |
| River Road Asset Management, LLC CRD: 134918 | - | 0 | 1 | - | Unknown |
| River Rose Financial LLC CRD: 342580 | - | 0 | 2 | - | Unknown |
| River SEA Network CRD: 333371 | - | 0 | 1 | - | Unknown |
| River Securities, LLC CRD: 134152 | - | 0 | 0 | A | INACTIVE |
| River Source Wealth Management, LLC CRD: 150852 | - | 0 | 0 | - | Unknown |
| River Street Advisors, LLC CRD: 153537 | - | 0 | 7 | - | Unknown |
| River Trail Capital Management LLC CRD: 285051 | - | 0 | 0 | - | Unknown |