From FINRA BrokerCheck to FINTRX: Why Asset Managers Need More Than Just Regulatory Data

What BrokerCheck Offers (And What It Doesn’t)

FINRA BrokerCheck provides:

+ Licensing and registration status
+ Employment history and current affiliations
+ Regulatory disclosures
+ Exam qualifications

But that’s about it. If you’re an asset manager trying to identify high-AUM firms, understand investment behavior, or reach decision-makers, BrokerCheck quickly falls short.

Key limitations include:

+ No AUM or product allocation data
+ No insight into platform/custodian usage
+ No firm-level segmentation (e.g., hybrid vs. independent)
+ No verified contact info
+ No CRM integrations or real-time alerts

How FINTRX Outperforms BrokerCheck

FINTRX goes far beyond basic registry data. It’s a comprehensive RIA and family office intelligence platform that provides:

+ Detailed firm and advisor profiles
+ Direct contact information (emails, phone numbers)
+ Segmented AUM and fund allocation visibility
+ Platform and custodian relationships
+ Relationship mapping and warm introduction tools
+ Real-time alerts for advisor movements or firm changes
+ Seamless integrations with CRMs like Salesforce, HubSpot, and more

FINTRX allows you to search for RIAs using competitor funds, prioritize prospects by strategy fit or geography, and engage contacts with personalized outreach—none of which is possible with FINRA BrokerCheck alone.

Real-World Impact

With FINTRX, a wholesaler can:

→ Pull a list of RIAs in California with $500M+ AUM using a competing mid-cap equity fund
→ Filter by custodian to ensure product access
→ Identify individual reps and verify their email addresses
→ Discover network connections via AI-powered relationship intelligence and shared commonalities
→ Push the entire list into a CRM like Salesforce or HubSpot with one click
→ Set fully-customized alerts for any firm-level changes

FINTRX is an end-to-end sales enablement system, while BrokerCheck is essentially a digital phone book.

Use Both—but Lead with FINTRX

BrokerCheck still plays an important compliance role, especially for verifying advisor backgrounds. But if you’re focused on growing AUM, replacing competitor products, or streamlining advisor engagement, it’s not enough.

FINTRX delivers the intelligence and automation needed to turn insight into action.

See FINTRX in Action

Ready to move beyond static listings and start targeting RIAs with precision? Request your FINTRX trial and see why top asset managers rely on FINTRX to fuel distribution growth.