Institution record
DGH
Draper Goren Holm
- Source score
- 2.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (financial institutions and registrants headquartered in the united states and canada) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage California Department of Financial Protection and Innovation (DFPI) | Not supplied | Registered | Draper Goren Holm | 2018 | |
In our coverage U.S. Securities and Exchange Commission (SEC) | Not supplied | Registered | Draper Goren Holm | 2020 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing DGH against peer institutions in our financial institutions and registrants headquartered in the united states and canada dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| DGH (this record) | California Department of Financial Protection and Innovation (DFPI)U.S. Securities and Exchange Commission (SEC) | 0 / 2 | Risk level not supplied | 2.0 | 0 |
U.S. Securities and Exchange Commission (SEC)FINRAFinancial Conduct Authority+1 | 4 / 4 | Risk level not supplied | 6.0 | 0 | |
U.S. Securities and Exchange Commission (SEC) | 1 / 1 | Risk level not supplied | 5.0 | 0 | |
U.S. Securities and Exchange Commission (SEC) | 1 / 1 | Risk level not supplied | 5.0 | 0 | |
U.S. Securities and Exchange Commission (SEC) | 1 / 1 | Risk level not supplied | 5.0 | 0 | |
U.S. Securities and Exchange Commission (SEC)Financial Conduct Authority | 2 / 2 | Risk level not supplied | 4.0 | 0 |
DGH: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is DGH's regulatory licence status and supervisory authorisation?
In our imported dataset, DGH (legal entity reference: Draper Goren Holm) holds 2 recorded licence entries, of which 0 carry a "regulated" status and 2 are marked regulated or registered: California Department of Financial Protection and Innovation (DFPI) — licence Not supplied, status: registered; U.S. Securities and Exchange Commission (SEC) — licence Not supplied, status: registered. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official California Department of Financial Protection and Innovation (DFPI), U.S. Securities and Exchange Commission (SEC) public register.
Which of DGH's jurisdictions and licences fall within this site's regulatory coverage?
This directory focuses on financial institutions and registrants headquartered in the united states and canada. 2 of DGH's 2 licence records fall directly within this jurisdictional mandate: California Department of Financial Protection and Innovation (DFPI) (licence Not supplied, registered, entity: Draper Goren Holm); U.S. Securities and Exchange Commission (SEC) (licence Not supplied, registered, entity: Draper Goren Holm). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
What is DGH's institutional risk classification, enforcement exposure, and score profile?
DGH carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 2.0, risk & licensing: 2.0, brand: 2.0, market influence: 2.0, user reputation: 0.0). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to DGH's platforms, entity structure, and complaints?
Before allocating capital or executing trades with DGH, institutional and retail allocators should: (1) confirm the domain (drapergorenholm.com) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to California Department of Financial Protection and Innovation (DFPI).
Related institutional research & regulatory analysis
Editorial briefings and compliance research from Americas Firm Ledger relevant to DGH's supervisory scope.
Regulatory Compliance
SEC Enforcement Penalties Fall to 18-Year Low - WSJ
SEC Enforcement Penalties Fall to 18-Year Low - WSJ: Institutional summary of the primary material (SEC). Cross-reference official supervisory registers for live updates.
Regulatory Compliance
US SEC enforcement activity plunges two years into Trump administration - Reuters
US SEC enforcement activity plunges two years into Trump administration - Reuters: Institutional summary of the primary material (SEC). Cross-reference official supervisory registers for live updates.
Market Insights
CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here - Benzinga
CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here - Benzinga: CoreWeave's Funding Challenges Are 'Manageable:' Bank of America Sees the Stock More Than Doubling From Here Benzinga
Market Insights
Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens - Invezz
Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens - Invezz: Nasdaq futures rise over 500 points: 5 things to know before Wall Street opens Invezz