# Changelog of US Broker-Dealer & RIA Data — FINRA BrokerCheck Firm Lookup (`foxlabs/finra-brokercheck-firm-data`) Actor

- **URL**: https://apify.com/foxlabs/finra-brokercheck-firm-data/changelog.md
- **Full Actor documentation**: https://apify.com/foxlabs/finra-brokercheck-firm-data.md

## Changelog

### 0.1.14 — 2026-09-25

- OCR work per audit is bounded by pages (the last 10 unreadable ones), no longer by the clock: audits of a run queue on one OCR worker, so a time budget also counted the wait for the others and cut Kingswood Capital Partners short on the platform.
- No pricing change.

### 0.1.13 — 2026-09-25

- Per-audit OCR budget 180 s (a run gets a quarter of a CPU core per GB; 120 s cut one audit short in the 0.1.12 check).
- **SEC requests answered 503 or 429 are retried** twice (2 and 4 s later); a transient 503 cost one broker-dealer its EIN and net capital in the 0.1.12 check.
- No pricing change.

### 0.1.12 — 2026-09-25

- **Net capital from scanned or font-garbled X-17A-5 audits by OCR** (tesseract.js with bundled English data, pdfjs rendering via @napi-rs/canvas; all pinned). Only unreadable pages, last first; a figure is kept only when the statement's arithmetic holds or two reads (3× and 4×) agree with confidence ≥ 90. 25 sampled audits without a text figure: 12 recovered, 12/12 confirmed. `capitalSource` says when OCR was used and which check confirmed it.
- No pricing change.

### 0.1.11 — 2026-09-25

- **`capital` is filled for broker-dealers**: net capital under SEC Rule 15c3-1 from the newest Form X-17A-5 annual audit on EDGAR (the PDF's net capital statement or table; never the minimum, excess or ratio). New `capitalAsOf`, `capitalSource`, `capitalFilingUrl`. Measured on 90 random 2026 audits: on the 30 held out from tuning, 20 of 30 gave a figure, 20 of 20 correct.
- New dependency `pdfjs-dist` (pinned). No pricing change.

### 0.1.10 — 2026-09-25

- **`officers` is filled for investment advisers** from Form ADV Schedule A (direct owners and executive officers, with `appointedOn`, `ownership` range and `controlPerson`), read from a monthly-rebuilt foXLabs index of the SEC's Form ADV filing data. BrokerCheck publishes Schedule A of Form BD only, so adviser-only firms had none. State-registered advisers are not in the SEC files.
- **New `officersSource`**: Form BD (BrokerCheck) or Form ADV and its filing date.
- An EDGAR placeholder EIN of zeros is no longer passed on as `taxNumber`.
- No pricing change.

### 0.1.9 — 2026-09-25

- **`taxNumber` is filled for broker-dealers** from their EDGAR company record, joined on the SEC file number (never by name): Charles Schwab & Co. `94-1737782`, Robinhood Financial `46-0904959`. 14 of 15 active broker-dealers in a sample were on EDGAR; firms that closed before EDGAR are not.
- **`website`, `employees` and new `assetsUnderManagement`, `advisoryAccounts`, `websites`, `socialProfiles`, `formAdvFiledOn` are filled for advisers** from the SEC's daily Form ADV file, joined on the CRD. The Vanguard Group: https://www.vanguard.com, 1,702 employees, $11.09 trillion. Form ADV lists every site an adviser uses — brands, careers pages, its people's LinkedIn profiles — so the website is the domain carrying the firm's name, and personal profiles are left out.
- Adviser-only firms also get `legalForm`, `jurisdiction`, `phone` and `fiscalYearEnd` from Form ADV, where BrokerCheck has none. New `secCik`.
- SEC requests identify the actor and a contact address in the User-Agent, as the SEC's fair-access policy asks, and stay under its 10-requests-per-second limit.
- In the prefilled run: `website` and `employees` 0% → 47%, `taxNumber` 0% → 27%, `phone` 20% → 53%, `legalForm` 47% → 80%.
- No pricing change.

### 0.1.8 — 2026-09-25

- **Each firm's full BrokerCheck record is now read**, which fills `legalForm`, `incorporatedOn`, `phone`, `industry` and `officers` (all empty before) and adds `jurisdiction`, `adviserOfficeAddress`, `registrationStatus`, `registrationStatusDate`, `firmSize`, `fiscalYearEnd`, `disclosureCount`, `disclosures` and `registeredStates`.
- **`address` is now the main office**, as the field always promised. Dual broker-dealer/adviser firms used to get their Form ADV office here (Charles Schwab: San Francisco instead of the Westlake, TX main office); that office now sits in `adviserOfficeAddress`. Broker-dealer-only firms always got an empty address (the search field was misread); they now get the main office whenever BrokerCheck has one (Robinhood Financial: 500 Colonial Center Parkway, Lake Mary, FL).
- `countryName` is written the same way for every US firm (*United States*), where the source mixes *UNITED STATES*, *USA* and *United States*.
- Fields BrokerCheck does not publish (`taxNumber`, `capital`, `employees`, `website`, `email`, `industryCode`, `dissolvedOn`) are now labelled as such in the dataset schema and README.
- One extra request per firm. No pricing change.

### 0.1.6 — 2026-09-09

- **Added the output schema link** to `.actor/actor.json`. The `output_schema.json` file was already in the source but was never referenced, so the platform treated the build as having no output schema and refused publication.
- No code, field-mapping or output-format changes. A reference run before this release produced 15 rows across 22 fields in 5s.