Investment Adviser & Broker-Dealer Firm List (RIA, ERA, BD)

Unofficial tool. Not affiliated with, endorsed by, or sponsored by the U.S. Securities and Exchange Commission (SEC), FINRA, or any government agency. No government or regulator seals or logos are used.

Export firm-level records for every registered investment adviser, exempt reporting adviser and active broker-dealer, straight from the official monthly public files. It's for wealth-tech and fund-services sales teams, compliance and KYB / due-diligence teams, fintech developers and researchers.

Input: firm types, firm-name words, CRD numbers, file numbers or CIKs, states or countries, minimum AUM, private-fund and disclosure filters, and a status-since date for new registrations.

Output: one row per firm: file number, CRD, CIK, firm type, business and legal name, registration status and effective date, latest Form ADV filing date, main-office city / state / country (street and ZIP when not a private residence), firm website, employees, regulatory AUM (discretionary, non-discretionary, accounts), private funds (count, gross assets, hedge / PE / VC / real estate...), states with notice filings, the Form ADV Item 11 disclosure answer and items, related registrations under the same CIK, and IAPD or EDGAR links.

Confirm on the official public disclosure sites (IAPD, BrokerCheck, EDGAR) before relying on a record. The source files are monthly snapshots.

Input

• firmTypes: any of ria, era, bd (default all)
• names: firm-name queries; every word of a query must appear in the name
• crdNumbers, secFileNumbers (801-, 802-, 8-), ciks
• states (US main office), countries (as written in the source file, e.g. United Kingdom)
• minAumUsd, privateFunds (yes / no), disclosures (yes / no), statusSince (YYYY-MM-DD)
• sortBy: aum (default), name or status_date; maxResults up to 30,000

Output fields

type, id, firm_type, name, legal_name, crd, sec_file_number, cik, sec_status, status_effective_date, latest_adv_filing_date, sec_region, main_office, website, other_offices, notice_filed_states, umbrella_registration, employees, advisory_employees, regulatory_aum, private_funds, disciplinary_disclosure_reported_firm_or_affiliates, disclosure_items, iapd_url, edgar_url, related_registrations, source_file, confirm_at

Disclosures. disciplinary_disclosure_reported_firm_or_affiliates is the Form ADV Item 11 answer, which covers the firm and its advisory affiliates; a "yes" is not a finding against the firm.

Privacy. Firm-level data only. No individuals (owners, executives, chief compliance officers, contact persons), no phone or fax numbers, no books-and-records locations. When a main office is flagged as a private residence, the street and postal code are withheld (city, state and country stay); broker-dealer street addresses are withheld when the firm name has no company suffix or the address looks residential. Website links that point to social or personal profiles are dropped.

Opt-out. Removal requests: support@lepidata.com, by CRD or CIK. Requests are handled within 30 days; opted-out firms are dropped from every run.

Free status rows (not charged): no-results, invalid-input, source-error, free-plan-limit, charge-limit-reached.

Example: {"firmTypes":["ria"],"states":["NY"],"privateFunds":"yes","minAumUsd":1000000000,"maxResults":500}

Not a consumer report

Not a consumer report and not a background check. Lepidata is not a consumer reporting agency. Do not use this data to decide credit, insurance, employment or housing eligibility for an individual.

Data source and compliance

• Source credit: U.S. Securities and Exchange Commission (SEC) public files on www.sec.gov: "Information About Registered Investment Advisers and Exempt Reporting Advisers" (Form ADV Part 1A, monthly) and "Company Information About Active Broker-Dealers" (monthly). US government public data. Each run downloads the newest files (5 requests, a declared User-Agent with a contact address, at least 1 second apart, well under the 10 requests per second fair-access limit).
• Unofficial data: confirm on IAPD, BrokerCheck or EDGAR. Not investment, legal or compliance advice.
• Free-plan accounts get up to 100 results per run.

Pricing. Pay per result: $0.90 per 1,000 firms ($0.0009 each), the same price on every plan, no start fee. Free status rows are never charged.