Net capital and audited financials for US broker‑dealers
Every figure is read from the annual reports on Form X‑17A‑5 that 3,040 US broker-dealers filed on EDGAR through September 15, 2026, and links to its page. Nothing is estimated. A firm's report adds where it sits among firms its size.
Or browse every firm, A to Z, or firms by size.
- Looking at a firm to buy
- Before a letter of intent, the report reads the firm's audited filing for you: where it sits among firms its size on computed ratios, what the notes say about expense sharing, subordinated borrowings and customer protection, and the page behind every figure, ready for the deal file. US$99 a firm. See a sample report.
- Where your own firm sits
- A page for each size band shows how five ratios spread across firms your size, grouped by how they clear. Your firm's report places it among them. See firms your size.
- Before you deal with a firm
- Moving a book, picking a placement agent, or facing a firm in arbitration: each firm's page is free, with its net capital against the requirement, its balance sheet, its auditor and clearing firm, and what its filing says about going concern and controls. Find it by name above; its report adds where it sits among its peers and what its notes say.
See a report in full, as a buyer gets it: First Kentucky Securities Corporation, fiscal year ended September 30, 2025.