Paladin Transparency Index (PTI)


Data compiled from company, regulatory agency (SEC, FINRA), and third party websites. Did Not Disclose (DND) means Paladin could not find this information on the Internet. Advisory firms can submit updated information to Paladin Research. Paladin will update the OFA report if it can validate the information.

  • Type of Financial Firm: Online Brokerage
  • URL:
  • Year Established: 2012
  • Headquarters Location: Palo Alto, CA
  • Most Recent Update: 8/25/15

Types of Financial Services

  • "Investment Services" Brokerage

Registration & Licensing

  • SEC: 8-69188
  • CRD: 165998
  • IARD: 165998
  • Disclosures ( None

Contact Information

  • Email:
  • Telephone: DND (per website)
  • Human Contact: Yes
  • Type of Contact: Email


  • Minimum Asset Requirement: None
  • Minimum Fee: None
  • Free Offer(s): Free trading refers to $0 commissions for Robinhood Financial self-directed individual cash or margin brokerage accounts that trade U.S. listed securities via mobile devices. Relevant SEC & FINRA fees may apply.

Combined Fees

  • Service Initiation Fees: None
  • Annual Fee: None
  • Annual Third Party Fee(s): Possibly
  • Examples of Third Parties: ETF's, Index Funds, Mutual Funds, Broker/Dealers

Scope of Business

  • Number of Users: DND (per website)
  • Assets (Paid): DND
  • Assets (Free): DND

Investment Services

  • Number of Portfolios: Not applicable
  • Types of Investments: You can trade most U.S. equities and exchange trade funds (ETFs) listed on major U.S. exchanges. This includes over 5,000 securities.
  • Investment Managers: Not applicable

Additional Investment Services

  • Data Aggregation Services: No
  • Tax Loss Harvesting: DND
  • Rebalancing: DND
  • Account Liquidity: DND
  • Investor Discretion: DND

Additional Information

  • Clearing & Custody: Apex
  • Mobile Application: Yes

Paladin Transparency Rating (PTI)

  • 4.0


  • None

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