Net Capital
$48.2M+38%
Meridian Trade Group · 4-quarter trend
Real-time regulatory intelligenceSee every filing.
Call the right firm first.
See every new broker-dealer, FOCUS filing, and clearing-partner change the moment it hits SEC or FINRA — ranked by who's worth your next call.
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Live· SEC / FINRA wire
09:41:07_
Filings today
1,284
New BDs (30d)
127
Hot prospects
312
Avg to signal
9m
Incoming filings
streamingForm BD
Cedar Ridge Securities
New registration
CRD 318204
12s ago
17a-11
Atlas Capital Markets
Net-capital alert
CRD 291866
47s ago
X-17A-5
Brightwater Partners
Clearing change
CRD 274513
1m ago
FOCUS
Meridian Trade Group
Quarterly filing
CRD 305927
2m ago
- Form BDCRD 318204Cedar Ridge Securities
- 17a-11EW-0042Atlas Capital Markets
- ClearingX-17A-5Brightwater Partners
- FOCUSFY+38%Meridian Trade Group
- Form BDCRD 327755Northpoint Execution
- ClearingX-17A-5Sterling Cove Securities
- 17a-11EW-0117Hollis & Crane
- FOCUSFY+12%Vanguard Reach Capital
- Form BDCRD 331902Harborline Trading
- 17a-11EW-0009Kestrel Securities
Live feedThe market never stops filing.
The market never stops filing.
Neither do we.
Form BD registrations, 17a-11 net-capital deficiencies, FOCUS health swings, and clearing-partner changes — captured from SEC and FINRA the moment they land, and scored by who is worth your next call.
Form BD17a-11FOCUSClearing
- just nowForm BDCedar Ridge Securities LLC
New broker-dealer registered
- 2mFOCUSVanguard Reach Capital
Health upgraded to Healthy
- 8m17a-11Hollis & Crane LLC
Early-warning threshold hit
- 17mClearingSterling Cove Securities
Self-clearing → RBC
- 31mForm BDNorthpoint Execution LLC
New broker-dealer registered
New filing: Form BD — Cedar Ridge Securities LLC. New broker-dealer registered.
Watching the wire, live
3,847+
broker-dealers tracked across SEC + FINRA
Daily
Form BD + 17a-11 deficiency scans
X-17A-5
clearing relationships extracted via LLM
< 24h
from filing to scored prospect
Platform capabilities
Every signal, one workspace
From new BD registrations to clearing-partner changes, DOX watches SEC and FINRA in real time and delivers ranked, qualified prospects inside one system.
Net-capital analysis, YoY growth tracking, and automated health classification straight from FOCUS reports.
How it works
From filing to first call in under a day
01
A filing lands
Form BD, 17a-11, and X-17A-5 filings are pulled from SEC and FINRA the moment they post — no manual checking.
02
It gets scored
Net capital, YoY growth, clearing arrangement, and your weighted factors classify each firm Hot, Warm, or Cold.
03
You make the call
Qualified prospects surface with enriched executive contacts, ranked by who's worth your outreach today.
Built for institutional trust
Security and coverage your compliance desk can stand behind
Enterprise-grade controls and continuous regulatory coverage — so the prospect on your desk is one you can act on with confidence.
SOC 2-ready architecture
Least-privilege access, audit-logged actions, and isolated tenant data.
AES-256 encryption at rest
Every record and document encrypted in storage and in transit.
99.5% uptime SLA
The wire keeps watching — filings land the moment they post.
3,847+ firms tracked
Continuous coverage across SEC EDGAR + FINRA BrokerCheck.
Sourced direct from the regulators & clearing network
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- FINRA
- SEC EDGAR
- Pershing
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Stop refreshing EDGAR. Start closing.
Every new broker-dealer, FOCUS filing, and clearing change — scored and ready the moment it lands. See who's worth your next call.