SEC Form ADV Filing Monitor

Track public SEC IAPD and Form ADV adviser records from firm names, CRD numbers, SEC numbers, adviser names, and location filters.

What does this actor do?

SEC Form ADV Filing Monitor searches the public SEC Investment Adviser Public Disclosure (IAPD) data endpoints and returns normalized adviser monitoring records.

It is built for repeat compliance checks, due diligence, and enrichment workflows where you need clean identifiers, status fields, disclosure signals, ADV filing dates, and source URLs.

Who is it for?

Compliance teams use it to monitor adviser registrations and disclosure flags.

Wealth-management platforms use it to enrich RIA and adviser lead records.

Fintech due-diligence teams use it to verify firm identity and SEC/IAPD links.

Recruiting and sales teams use it to build clean adviser watchlists.

Why use it?

The SEC website is public but not optimized for repeat exports.

This actor turns searches into structured dataset rows with stable field names.

It keeps the source API URL and IAPD summary URL in every row so analysts can audit each record.

Data sources

The actor uses public SEC IAPD search endpoints on api.adviserinfo.sec.gov.

It also generates public adviser summary and report links from adviserinfo.sec.gov and reports.adviserinfo.sec.gov.

No login is required.

Search modes

You can search by firm/adviser terms.

You can fetch exact firm CRD numbers.

You can fetch exact individual CRD numbers.

You can optionally add state or city/state filters.

Default workflow

By default the actor searches firm records because Form ADV monitoring is normally firm-centric.

Turn on individual search when you also need representative/adviser matches.

Set maxItems to control export size and cost.

Input fields

searchTerms accepts firm names, adviser names, SEC numbers, or keywords.

firmCrdNumbers accepts exact firm CRD/IAPD identifiers.

individualCrdNumbers accepts exact individual CRD identifiers.

locations accepts values like NY or New York, NY.

includeIndividuals controls adviser-person searches.

includeFirmDetails fetches richer detail JSON for filing dates and status fields.

maxItems limits saved records.

Output data table

Field	Description
entityType	Firm or individual
sourceQuery	Search term or exact CRD source
crdNumber	CRD/IAPD identifier
secNumber	SEC registration number when available
firmName	Adviser firm name
individualName	Individual adviser name
registrationStatus	Public registration/status value
advFilingDate	Latest ADV filing date when available
disclosureFlag	SEC/IAPD disclosure flag
formAdvReportUrl	Public IAPD/Form ADV summary link
crsReportUrl	CRS PDF link for firms
sourceApiUrl	Public API URL used for the row

How much does it cost to monitor SEC Form ADV records?

This actor uses pay-per-event pricing.

You pay a small run start fee and then a per-record fee for records saved to the dataset.

Keep maxItems low for trial runs.

Increase it for scheduled monitoring jobs after validating your input terms.

Example input

{
  "searchTerms": ["BlackRock", "Vanguard"],
  "firmCrdNumbers": ["162379"],
  "includeIndividuals": false,
  "includeFirmDetails": true,
  "maxItems": 100
}

Example output

{
  "entityType": "firm",
  "sourceQuery": "BlackRock",
  "crdNumber": "164594",
  "secNumber": "801-76926",
  "firmName": "BLACKROCK (SINGAPORE) LIMITED",
  "registrationStatus": "Approved",
  "advFilingDate": "06/17/2026",
  "disclosureFlag": true,
  "formAdvReportUrl": "https://adviserinfo.sec.gov/firm/summary/164594"
}

How to run it

1. Add firm names, SEC numbers, or CRD numbers.

2. Choose whether to include individuals.

3. Set maxItems.

4. Run the actor.

5. Export JSON, CSV, Excel, or connect the dataset to your workflow.

Monitoring tips

Use exact CRD numbers for recurring high-confidence monitoring.

Use firm-name searches for discovery and enrichment.

Use scheduled Apify tasks to rerun the same watchlist daily, weekly, or monthly.

Compare new datasets with earlier exports to detect changes.

Integrations

Send rows to Google Sheets for compliance review.

Store rows in a warehouse for RIA lead scoring.

Trigger Slack alerts when a watched firm has a disclosure flag.

Join records with CRM accounts by CRD or SEC number.

API usage with Node.js

import { ApifyClient } from 'apify-client';

const client = new ApifyClient({ token: process.env.APIFY_TOKEN });
const run = await client.actor('automation-lab/sec-form-adv-filing-monitor').call({
  searchTerms: ['BlackRock'],
  maxItems: 50
});
console.log(run.defaultDatasetId);

API usage with Python

from apify_client import ApifyClient

client = ApifyClient('YOUR_APIFY_TOKEN')
run = client.actor('automation-lab/sec-form-adv-filing-monitor').call(run_input={
    'searchTerms': ['Vanguard'],
    'maxItems': 50,
})
print(run['defaultDatasetId'])

API usage with cURL

curl -X POST "https://api.apify.com/v2/acts/automation-lab~sec-form-adv-filing-monitor/runs?token=$APIFY_TOKEN" \
  -H 'Content-Type: application/json' \
  -d '{"searchTerms":["BlackRock"],"maxItems":50}'

MCP usage in Claude Code

Connect Apify MCP and enable only this actor with:

claude mcp add apify-sec-form-adv --transport sse \
  "https://mcp.apify.com/?tools=automation-lab/sec-form-adv-filing-monitor"

You can also add the server to a Claude Desktop MCP configuration:

{
  "mcpServers": {
    "apify-sec-form-adv": {
      "url": "https://mcp.apify.com/?tools=automation-lab/sec-form-adv-filing-monitor"
    }
  }
}

Then ask Claude to run SEC adviser checks, inspect the dataset, and summarize changed records.

Example prompts you can ask through MCP:

• "Run the SEC Form ADV Filing Monitor for these firm CRD numbers and list records with disclosure flags."
• "Find SEC IAPD records for these RIA names, return ADV filing dates, and include report URLs."
• "Compare this week's dataset with last week's Form ADV monitor output and summarize firms with changed status or disclosures."

MCP prompts

"Run the SEC Form ADV Filing Monitor for these firm CRD numbers and list records with disclosure flags."

"Find SEC IAPD records for these RIA names, return ADV filing dates, and include report URLs."

"Compare this week's dataset with last week's Form ADV monitor output and summarize firms with changed status or disclosures."

Scheduling workflows

Create an Apify task with your watchlist.

Schedule it weekly for adviser-monitoring changes.

Export each run to a named dataset or external system.

Data quality notes

The actor reports public SEC/IAPD fields as returned by the current public API.

Some rows may not have every field.

International firms may have country and postal code but no U.S. state.

Disclosure counts are available only when exposed in summary detail data.

Proxy guidance

The public SEC endpoints normally work without Apify Proxy.

Use proxy settings only if your environment requires it.

The default no-proxy mode keeps runs cheaper.

Troubleshooting

If a search returns fewer records than expected, try exact CRD numbers or broader firm names.

If a location filter is too narrow, remove it and filter the exported dataset instead.

If an ADV date is missing, the public summary record did not expose it for that match.

Legality

This actor accesses public SEC IAPD disclosure data.

Use the data in accordance with SEC website terms, Apify terms, and your compliance obligations.

Do not use exported data for unlawful discrimination, harassment, or deceptive outreach.

Related scrapers

Explore other finance and compliance actors from Automation Lab at https://apify.com/automation-lab/.

Useful adjacent workflows include SEC company filing monitors, adviser lead enrichment, and website contact enrichment.

FAQ

Can I monitor exact firms?

Yes. Use firmCrdNumbers for exact watchlists.

Can I include individual advisers?

Yes. Enable includeIndividuals or provide individualCrdNumbers.

Does it download PDFs?

No. It outputs public report URLs so your workflow can review or download them separately.

Does it require a login?

No. It uses public SEC IAPD endpoints.

Is this a Form ADV change detector?

It produces repeatable snapshots with timestamps and source URLs. Use Apify schedules or downstream comparison logic to detect changes.

Changelog

Initial version: public SEC IAPD firm and individual search, exact CRD fetches, ADV filing dates, disclosure signals, and source URLs.