# SEC Form ADV Filing Monitor (`automation-lab/sec-form-adv-filing-monitor`) Actor Monitor SEC IAPD/Form ADV adviser records with CRD identifiers, disclosure flags, filing dates, report URLs, and source timestamps. - **URL**: https://apify.com/automation-lab/sec-form-adv-filing-monitor.md - **Developed by:** [Stas Persiianenko](https://apify.com/automation-lab) (community) - **Categories:** Business - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks - **User rating**: No ratings yet ## Pricing from $0.02 / 1,000 adv monitoring records This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. Since this Actor supports Apify Store discounts, the price gets lower the higher subscription plan you have. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-event ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. In Batch mode, an Actor accepts a well-defined JSON input, performs an action which can take anything from a few seconds to a few hours, and optionally produces a well-defined JSON output, datasets with results, or files in key-value store. In Standby mode, an Actor provides a web server which can be used as a website, API, or an MCP server. Actors are written with capital "A". ## How to integrate an Actor? If asked about integration, you help developers integrate Actors into their projects. You adapt to their stack and deliver integrations that are safe, well-documented, and production-ready. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## 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 ```json { "searchTerms": ["BlackRock", "Vanguard"], "firmCrdNumbers": ["162379"], "includeIndividuals": false, "includeFirmDetails": true, "maxItems": 100 } ```` ### Example output ```json { "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 ```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 ```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 ```bash 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: ```bash 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: ```json { "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. # Actor input Schema ## `searchTerms` (type: `array`): Firm names, adviser names, SEC numbers, or keywords to search in the public SEC IAPD index. ## `firmCrdNumbers` (type: `array`): Optional exact firm CRD/IAPD identifiers to fetch directly, one per line. ## `individualCrdNumbers` (type: `array`): Optional exact individual CRD identifiers to fetch directly. ## `locations` (type: `array`): Optional state or City, State filters, such as NY or New York, NY. ## `includeIndividuals` (type: `boolean`): Also search individual adviser records. Leave off for firm-only Form ADV monitoring runs. ## `includeFirmDetails` (type: `boolean`): Fetch detail summary JSON for richer ADV filing dates, report flags, statuses, and disclosure counts. ## `maxItems` (type: `integer`): Maximum number of firm/adviser records to save. ## `proxyConfiguration` (type: `object`): Optional Apify Proxy settings. The public SEC API normally works without a proxy. ## Actor input object example ```json { "searchTerms": [ "BlackRock", "Vanguard" ], "firmCrdNumbers": [ "162379" ], "individualCrdNumbers": [], "locations": [], "includeIndividuals": false, "includeFirmDetails": true, "maxItems": 20, "proxyConfiguration": { "useApifyProxy": false } } ``` # Actor output Schema ## `overview` (type: `string`): No description # API You can run this Actor programmatically using our API. Below are code examples in JavaScript, Python, and CLI, as well as the OpenAPI specification and MCP server setup. ## JavaScript example ```javascript import { ApifyClient } from 'apify-client'; // Initialize the ApifyClient with your Apify API token // Replace the '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "searchTerms": [ "BlackRock", "Vanguard" ], "firmCrdNumbers": [ "162379" ], "individualCrdNumbers": [], "locations": [], "includeIndividuals": false, "includeFirmDetails": true, "maxItems": 20, "proxyConfiguration": { "useApifyProxy": false } }; // Run the Actor and wait for it to finish const run = await client.actor("automation-lab/sec-form-adv-filing-monitor").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`💾 Check your data here: https://console.apify.com/storage/datasets/${run.defaultDatasetId}`); const { items } = await client.dataset(run.defaultDatasetId).listItems(); items.forEach((item) => { console.dir(item); }); // 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/js/docs ``` ## Python example ```python from apify_client import ApifyClient # Initialize the ApifyClient with your Apify API token # Replace '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "searchTerms": [ "BlackRock", "Vanguard", ], "firmCrdNumbers": ["162379"], "individualCrdNumbers": [], "locations": [], "includeIndividuals": False, "includeFirmDetails": True, "maxItems": 20, "proxyConfiguration": { "useApifyProxy": False }, } # Run the Actor and wait for it to finish run = client.actor("automation-lab/sec-form-adv-filing-monitor").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("💾 Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "searchTerms": [ "BlackRock", "Vanguard" ], "firmCrdNumbers": [ "162379" ], "individualCrdNumbers": [], "locations": [], "includeIndividuals": false, "includeFirmDetails": true, "maxItems": 20, "proxyConfiguration": { "useApifyProxy": false } }' | apify call automation-lab/sec-form-adv-filing-monitor --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=automation-lab/sec-form-adv-filing-monitor", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "SEC Form ADV Filing Monitor", "description": "Monitor SEC IAPD/Form ADV adviser records with CRD identifiers, disclosure flags, filing dates, report URLs, and source timestamps.", "version": "0.1", "x-build-id": "wFd7YlJEaKjgBkWOh" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/automation-lab~sec-form-adv-filing-monitor/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-automation-lab-sec-form-adv-filing-monitor", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/automation-lab~sec-form-adv-filing-monitor/runs": { "post": { "operationId": "runs-sync-automation-lab-sec-form-adv-filing-monitor", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/automation-lab~sec-form-adv-filing-monitor/run-sync": { "post": { "operationId": "run-sync-automation-lab-sec-form-adv-filing-monitor", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "properties": { "searchTerms": { "title": "Firm or adviser search terms", "type": "array", "description": "Firm names, adviser names, SEC numbers, or keywords to search in the public SEC IAPD index.", "items": { "type": "string" } }, "firmCrdNumbers": { "title": "Firm CRD numbers", "type": "array", "description": "Optional exact firm CRD/IAPD identifiers to fetch directly, one per line.", "items": { "type": "string" } }, "individualCrdNumbers": { "title": "Individual CRD numbers", "type": "array", "description": "Optional exact individual CRD identifiers to fetch directly.", "items": { "type": "string" } }, "locations": { "title": "Locations", "type": "array", "description": "Optional state or City, State filters, such as NY or New York, NY.", "items": { "type": "string" } }, "includeIndividuals": { "title": "Include individual adviser matches", "type": "boolean", "description": "Also search individual adviser records. Leave off for firm-only Form ADV monitoring runs.", "default": false }, "includeFirmDetails": { "title": "Fetch detail summaries", "type": "boolean", "description": "Fetch detail summary JSON for richer ADV filing dates, report flags, statuses, and disclosure counts.", "default": true }, "maxItems": { "title": "Maximum records", "minimum": 1, "maximum": 10000, "type": "integer", "description": "Maximum number of firm/adviser records to save.", "default": 20 }, "proxyConfiguration": { "title": "Proxy configuration", "type": "object", "description": "Optional Apify Proxy settings. The public SEC API normally works without a proxy." } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```