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 |
|---|---|---|---|---|---|
| Riverside Investment Management, Inc. CRD: 126488 | - | 0 | 2 | - | Unknown |
| Riverside Management LLC CRD: 323300 | - | 0 | 0 | - | Unknown |
| Riverside Partners, LLC CRD: 160754 | - | 0 | 1 | - | Unknown |
| Riverside Securities, Inc. CRD: 15005 | - | 4 | 0 | C | INACTIVE |
| Riverside Ventures Partnership, LLC CRD: 311287 | - | 0 | 1 | - | Unknown |
| Riverside Wealth Management, Inc. CRD: 140162 | - | 0 | 2 | - | Unknown |
| Riversource Distributors, Inc. CRD: 139135 | MN | 3 | 11 | C | Active |
| Riversource Services, Inc. CRD: 37341 | - | 0 | 0 | A | INACTIVE |
| Riverspan Partners LP CRD: 320667 | - | 0 | 1 | - | Unknown |
| Riverstone Advisors LP CRD: 107739 | - | 0 | 0 | A | INACTIVE |
| Riverstone Advisors, LLC CRD: 130346 | - | 0 | 4 | - | Unknown |
| Riverstone Asset Management, LLC CRD: 161087 | - | 0 | 1 | - | Unknown |
| Riverstone Capital Services LLC CRD: 172056 | - | 0 | 0 | A | INACTIVE |
| Riverstone Investment Group LLC CRD: 130849 | - | 0 | 1 | - | Unknown |
| Riverstone Wealth Management, Inc. CRD: 40418 | - | 8 | 0 | D | INACTIVE |
| Rivertowns Wealth Management CRD: 169048 | - | 0 | 0 | - | Unknown |
| Rivertree Advisors, LLC CRD: 168065 | - | 0 | 1 | - | Unknown |
| Rivertree Wealth CRD: 329595 | - | 0 | 3 | - | Unknown |
| Rivervest Venture Partners CRD: 160239 | - | 0 | 1 | - | Unknown |
| Riverview Advisors LLC CRD: 282455 | - | 0 | 0 | - | Unknown |
| Riverview Asset Management, Inc. CRD: 118859 | - | 0 | 1 | - | Unknown |
| Riverview Capital Advisers LLC CRD: 140377 | - | 0 | 1 | - | Unknown |
| Riverview Capital Management CRD: 149195 | - | 0 | 0 | - | Unknown |
| Riverview Research, LLC CRD: 162318 | - | 0 | 1 | - | Unknown |
| Riverwalk Capital III, LLC CRD: 308938 | - | 0 | 1 | - | Unknown |
| Riverwalk Capital Partners, LLC CRD: 328320 | - | 0 | 1 | - | Unknown |
| Riverwalk Capital, LLC CRD: 288854 | - | 0 | 1 | - | Unknown |
| Riverwater Partners LLC CRD: 283540 | - | 0 | 2 | - | Unknown |
| Riverway Asset Management, Inc. CRD: 118004 | - | 0 | 2 | - | Unknown |
| Riverwest Financial LLC CRD: 339333 | - | 0 | 1 | - | Unknown |
| Riverwest Investment Management, LLC CRD: 339697 | - | 0 | 1 | - | Unknown |
| Riverwood Capital Advisors, LLC CRD: 148741 | - | 0 | 1 | - | Unknown |
| Riverwood Capital Management L.P. CRD: 158267 | - | 0 | 1 | - | Unknown |
| Rives, Leavell & Co. CRD: 11206 | - | 2 | 0 | B | INACTIVE |
| Rivet Ventures Management, LLC CRD: 174878 | - | 0 | 1 | - | Unknown |
| Rivetti Investment Services, LLC CRD: 166720 | - | 0 | 1 | - | Unknown |
| Rivi Capital LLC CRD: 283779 | - | 0 | 1 | - | Unknown |
| Rivi Tech Holdings, LLC CRD: 304521 | - | 0 | 0 | - | Unknown |
| Riviera Capital Partners, LLC CRD: 298270 | - | 0 | 1 | - | Unknown |
| Riviere Securities Corporation CRD: 715 | - | 0 | 0 | A | INACTIVE |
| Riviere Securities Ltd. CRD: 47383 | - | 4 | 0 | C | INACTIVE |
| Rivington Securities, LLC CRD: 120689 | TX | 0 | 3 | A | Active |
| Rivkin Securities, Inc. CRD: 8568 | - | 0 | 0 | A | INACTIVE |
| Rivo Alto Capital Funding LLC CRD: 162400 | - | 0 | 0 | - | Unknown |
| Rivonia Road Capital LLC CRD: 296295 | - | 0 | 0 | - | Unknown |
| Rivulet Capital, LLC CRD: 163597 | - | 0 | 0 | - | Unknown |
| Riwm, LLC CRD: 160536 | - | 0 | 1 | - | Unknown |
| Rize Advisors, LLC CRD: 281185 | - | 0 | 0 | - | Unknown |
| Rizek Investments CRD: 38452 | - | 0 | 0 | A | INACTIVE |
| Rizvi Traverse Management, LLC CRD: 160733 | - | 0 | 1 | - | Unknown |