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 |
|---|---|---|---|---|---|
| River Tree Capital Management CRD: 165530 | - | 0 | 3 | - | Unknown |
| River Twice Capital Advisors LLC CRD: 169110 | - | 0 | 0 | - | Unknown |
| River Wealth Advisors LLC CRD: 173767 | - | 0 | 7 | - | Unknown |
| River Wealth Management LLC CRD: 309167 | - | 0 | 1 | - | Unknown |
| River Wealth Management, LLC CRD: 170781 | - | 0 | 0 | - | Unknown |
| River's Edge CRD: 313711 | - | 0 | 1 | - | Unknown |
| River1 Asset Management LLC CRD: 329230 | - | 0 | 1 | - | Unknown |
| Riverbanc LLC CRD: 165849 | - | 0 | 0 | - | Unknown |
| Riverbank Capital Securities, Inc. CRD: 135310 | - | 0 | 0 | A | INACTIVE |
| Riverbank Investment Advisors, LLC CRD: 307793 | - | 0 | 0 | - | Unknown |
| Riverbank Securities, LLC CRD: 38444 | - | 0 | 0 | A | INACTIVE |
| Riverbend Capital Advisors, LLC CRD: 157117 | - | 0 | 3 | - | Unknown |
| Riverbend Planning Group LLC CRD: 167187 | - | 0 | 1 | - | Unknown |
| Riverbend Wealth Management, LLC CRD: 302031 | - | 0 | 1 | - | Unknown |
| Riverbridge CRD: 108074 | - | 0 | 1 | - | Unknown |
| Riverchase Wealth Management, LLC CRD: 156950 | - | 0 | 2 | - | Unknown |
| Rivercities Asset Management, LLC CRD: 122576 | - | 0 | 2 | - | Unknown |
| Rivercrest Capital Management LLC CRD: 284911 | - | 0 | 1 | - | Unknown |
| Rivercrest Investment Advisors, LLC CRD: 316608 | - | 0 | 1 | - | Unknown |
| Riverflow Wealth Management, LLC CRD: 149725 | - | 0 | 2 | - | Unknown |
| Riverfront Asset Management LLC CRD: 159974 | - | 0 | 0 | - | Unknown |
| Riverfront Financial Services, Inc. CRD: 23150 | - | 0 | 0 | A | INACTIVE |
| Riverfront Investment Group, LLC CRD: 146221 | - | 0 | 17 | - | Unknown |
| Riverglade Capital CRD: 290557 | - | 0 | 1 | - | Unknown |
| Riverglades Family Offices, LLC CRD: 171584 | - | 0 | 2 | - | Unknown |
| Riverland Wealth Management CRD: 328424 | - | 0 | 3 | - | Unknown |
| Rivermax Financial LLC CRD: 325299 | - | 0 | 0 | - | Unknown |
| Rivermax Financial Planning LLC CRD: 340438 | - | 0 | 1 | - | Unknown |
| Rivermont Capital Management LP CRD: 311888 | - | 0 | 1 | - | Unknown |
| Rivermount GP LLC CRD: 300438 | - | 0 | 1 | - | Unknown |
| Rivernorth Capital Management, LLC CRD: 122020 | - | 0 | 5 | - | Unknown |
| Rivernorth Securities, LLC CRD: 153786 | - | 0 | 0 | A | INACTIVE |
| Rivero CPA LLC CRD: 129783 | - | 0 | 2 | - | Unknown |
| Riveroak Investment Corp., LLC CRD: 163707 | - | 0 | 1 | - | Unknown |
| Riverpark Advisors, LLC CRD: 150646 | - | 0 | 1 | - | Unknown |
| Riverpark Capital Management LLC CRD: 150798 | - | 0 | 1 | - | Unknown |
| Riverpath Investments LLC CRD: 226671 | - | 0 | 6 | - | Unknown |
| Riverplace Capital Management Inc CRD: 109079 | - | 0 | 3 | - | Unknown |
| Riverpoint Wealth Management CRD: 168346 | - | 0 | 2 | - | Unknown |
| Riverrock Asset Management LLC CRD: 147691 | - | 0 | 1 | - | Unknown |
| Riverrock European Capital Partners LLP CRD: 283589 | - | 0 | 0 | - | Unknown |
| Riverrock Investors CRD: 298470 | - | 0 | 0 | - | Unknown |
| Riverrock Securities, LLC CRD: 153178 | - | 0 | 0 | A | INACTIVE |
| Riversedge Advisors CRD: 298390 | - | 0 | 2 | - | Unknown |
| Riversedge Convertible Portfolio Advisors, LLC CRD: 144418 | - | 0 | 0 | - | Unknown |
| Riverside Advisors, Inc CRD: 144328 | - | 0 | 2 | - | Unknown |
| Riverside Blockchain, LLC CRD: 331721 | - | 0 | 1 | - | Unknown |
| Riverside Capital Management, L.L.C. CRD: 149315 | - | 0 | 0 | - | Unknown |
| Riverside Capital Wealth LLC CRD: 331038 | - | 0 | 1 | - | Unknown |
| Riverside Financial Advisors LLC CRD: 339678 | - | 0 | 1 | - | Unknown |