Broad Reach Risk Management, LLC — RALEIGH, NC
Marketing Brand01/2020 - Present Broad Reach Risk Management. Captive. Director/Member. N. Durham, NC, United States. 11/2017 - Present Broad Reach Reinsurance ... Operating under BROAD REACH CAPITAL LLC (CRD #144686).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Broad Reach Risk Management, LLC,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is BROAD REACH CAPITAL LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
BROAD REACH CAPITAL LLC
CRD 144686 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Broad Reach Risk Management, LLC — it reflects the regulatory profile of BROAD REACH CAPITAL LLC.
What This Means
The firm behind this brand has strong transparency practices. Their regulatory filings show comprehensive disclosure across fees, conflicts, and services.
This firm's regulatory filings show comprehensive disclosure. The full firm profile has the details.
See full score breakdownRegulatory Context
Regulatory oversight is under BROAD REACH CAPITAL LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 3 firm advisors use this brand
BROAD REACH CAPITAL LLC has 3 total registered advisors. Only 1 operates under the Broad Reach Risk Management, LLC brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Broad Reach Risk Management, LLC brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.