Aggregate SEC and FINRA data. Map clearing relationships. Score and surface high-value leads for firms offering settlement and clearing services.
Platform Capabilities
From new BD registrations to clearing partner changes, the platform monitors SEC and FINRA in real time and delivers qualified leads inside one system.
Net capital analysis, YoY growth tracking, and automated health classification from FOCUS reports.
Weighted scoring model with configurable factors. Hot, Warm, and Cold lead classification.
Automated scan for Form BD and 17a-11 deficiency filings with real-time alert routing.
LLM-powered extraction of clearing partners from X-17A-5 annual audit PDFs.
Restricted CSV with permitted fields only. 100-record cap and 3-export daily limit.
On-demand Apollo.io integration for executive email, phone, and LinkedIn data.
Ready to start
DOX has surfaced eight-figure clearing opportunities through similar intelligence. Every clearing lead starts with a signal you can see first.