SEC Form ADV Wealth Management & Investment Adviser Intelligence

Find SEC-registered investment advisers, state-registered investment advisers and exempt reporting advisers using the official SEC/IAPD downloadable files. Export one row per CRD to JSON or CSV for Clay, n8n, research and CRM workflows.

What this Actor does

Reads the latest published SEC and state Investment Adviser Data compilation files, selects the latest reported Form ADV record per firm CRD, filters firms, and enriches the CCO name only when an official monthly Form ADV filing can be matched to that CRD and exact filing date. Uses public HTTP downloads, without login or browser scraping.

Regulatory AUM is reported regulatory assets under management, in US dollars. It is not company revenue, the firm's own assets, or a measure of an individual client's wealth. Adviser registration does not imply SEC approval or endorsement.

Input

Example:

{"state":"NY","minRegulatoryAumUsd":100000000,"clientType":"high_net_worth_individuals","registrationType":"SEC_REGISTERED","firmName":"","maxResults":5}

Input	Meaning
state	Optional two-letter principal office state, such as NY or CA. This is not a registration-jurisdiction filter.
minRegulatoryAumUsd	Minimum Item5F(2)(c) amount in USD. Positive thresholds exclude missing AUM. Default0.
clientType	ALL or one of the documented Form ADV5D categories below.
registrationType	ALL, SEC_REGISTERED, STATE_REGISTERED, EXEMPT_REPORTING_ADVISER.
firmName	Case-insensitive literal substring of legal or primary business name.
maxResults	Successful unique firm limit, default5; integer1–5000.

clientType values: individuals; high_net_worth_individuals; banks; investment_companies; business_development_companies; pooled_investment_vehicles; pension_profit_sharing_plans; charitable_organizations; state_municipal_governments; other_investment_advisers; insurance_companies; sovereign_wealth_foreign_official_institutions; corporations_other_businesses; other.

A category matches when the source reports clients, a fewer-than-five indicator, or positive regulatory AUM in that category. Missing information is not treated as positive evidence. The output retains the count, suppressed-count flag and AUM separately.

Output and Form ADV mapping

Field	Source / definition
crd_number	Item1E(1), firm CRD; unique result key.
sec_number	Item1D, published801/802 number; null when absent.
legal_firm_name	Item1A, distinct from business_name(Item1B).
main_office_address	Item1F(1), published principal office components.
phone	Item1F(3).
website_url / website_urls	ScheduleD1I; first valid non-social HTTP(S) URL / all published entries. No domain guessing.
regulatory_aum_usd	Item5F(2)(c), total regulatory AUM, USD without thousands/millions scaling.
total_accounts	Item5F(2)(f), total accounts included in regulatory AUM; not number of clients.
cco_name	Item1J(1), from the monthly ADV1J_1K table joined by FilingID to base table CRD and exact date. Item1K is never substituted.
cco_email	null: the inspected public compilation/monthly tables do not publish the email field. No inferred emails.
filing_date	Compilation Filing.Dt, latest Form ADV processed filing date.
registration_status	Source status values; see registrations for jurisdiction/type details.
registration_types	SEC_REGISTERED, STATE_REGISTERED and/or EXEMPT_REPORTING_ADVISER, from actual registration/reporting nodes.
registrations	Authority, raw status, type and effective date; SEC state notice filings are excluded.
client_types	Form ADV5D(a)–(n) categories, reported counts/flags/AUM.
source_url / source_urls	Official current compilation download and all contributing compilation URLs.
source_data_date	Compilation generated date, separate from filing date.
cco_source_url / cco_filing_id	Exact matched monthly filing provenance, if available.
cco_availability	Why CCO name is present, unavailable or withheld as ambiguous.
iapd_url	Official firm summary link using the published CRD.
fetched_at	Actual UTC fetch timestamp.

Absent fields are null. Exempt reporting advisers often do not report Item5; Item2B private-fund assets are never substituted for regulatory AUM. Firms with both registered and exempt reporting jurisdictions keep all types in one CRD row. Status strings such as APPROVED, SUSPENDED, ACTIVE or TERMREQUEST are preserved rather than collapsed into an invented current-active label.

Freshness and coverage

The Actor discovers files at run time from the manifests linked by the official Investment Adviser Data and Form ADV Data download pages. At validation on30October2026, both current compilations were generated on2026-10-30; the newest monthly Form ADV Part1 archive covered2026-09-01 through2026-09-30, uploaded2026-10-01.

The older SEC Form ADV archive covers historical pre2025 filings and is not used as a current-registration fallback. The current compilation covers firms included under its SEC/state registration or exempt reporting inclusion rules, not every former adviser, individual representative or relying-adviser legal entity. One result is a filing-adviser CRD; this is not an exhaustive wealth-management-only list. Some registered firms do institutional or fund work.

Monthly public ADV archives may lag a current filing or omit a state firm's filing. If no exact same-date CRD match exists, the CCO name stays null. If multiple filings on that date prevent a certain join, it stays null. Contact-source errors are reported in SUMMARY rather than invented. CCO email is unavailable from the current public tables used. For a particular firm's freshest full document, consult its official IAPD link.

Form ADV data is self-reported and is not guaranteed accurate by SEC/state regulators. This Actor is independent of SEC, FINRA and IAPD.

Price and limits

USD0.009 per successfully returned unique adviser CRD: USD9 per1000 firms. Pure Pay-per-Event, with no startup event or separate platform-usage surcharge. Zero returned firms generate no firm event charge. Duplicate source records are merged before billing. A fresh run returning the same firm is a new delivery; resurrection of the same run does not charge that firm again.

The platform spending limit and maxResults both bound outputs. A budget below USD0.009 stops before any source download. Saved charge intent plus a per-CRD idempotency key prevents duplicate charging during restarts; an interrupted ambiguous charge may be conservatively left uncharged.

Safety bounds: at most30MiB per download,150MiB transferred per run, bounded decompression, sequential official requests, three attempts on transient network/429/5xx errors, no retry/access bypass on403, and a240second source-processing deadline. Current feed failures are fatal. Optional CCO enrichment may be incomplete under resource limits and is labelled. SEC/state source dates must match, and an official current file older than10days fails clearly.

The verified local default retrieved five firms in16.4seconds; cloud run evidence is recorded with the release. Timings depend on source availability. Large result sets can reach contact-download limits; the core firm results remain current and contact gaps explicit.

JSON, CSV, Clay and n8n

Use the run Dataset export buttons. JSON preserves structured address, registration and client-category arrays. CSV can flatten fields with Apify's Dataset export options. In n8n, run the Actor and fetch the resulting default Dataset; in Clay use its HTTP/API integration. OUTPUT provides Dataset JSON/CSV links. Private runs need your own token in an authorization header; never place it in a shared URL.

Development

python -m unittest discover -v Source code, schemas and Docker image configuration are included. Production package excludes tests, caches, source archives and credentials.