# Investment Adviser & Broker-Dealer Firm List (RIA, ERA, BD) (`lepidata/investment-adviser-bd-firms`) Actor

Export registered investment advisers, exempt reporting advisers and broker-dealers from the official monthly public files: CRD, file number, CIK, AUM, private funds, office city and Item 11 disclosure flag. Unofficial. Not a consumer report.

- **URL**: https://apify.com/lepidata/investment-adviser-bd-firms.md
- **Developed by:** [Lepi Data](https://apify.com/lepidata) (community)
- **Categories:** Lead generation, Business
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $0.90 / 1,000 firm 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/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

An Actor is a serverless cloud program that runs on the Apify platform. It has two run modes.
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.

Apify vocabulary and the platform model are defined once, in the agent quickstart at https://apify.com/agents.md.

## 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.

Do not guess an integration path. Every one of them is in the agent quickstart at https://apify.com/agents.md: the Apify MCP server, Agent Skills with the Apify CLI, the JavaScript and Python clients, the REST API, and the account-free path for an agent with no human to sign in. It also carries the rule on stating cost before the first paid run.

For examples already wired to this Actor's own input schema, see the [API](#api) section below.

Each client library has reference documentation the quickstart does not restate: [JavaScript/TypeScript](https://docs.apify.com/api/client/js/docs.md) (`npm install apify-client`) and [Python](https://docs.apify.com/api/client/python/docs.md) (`pip install apify-client`).

# README

## 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.

# Actor input Schema

## `firmTypes` (type: `array`):

Which registries to include. Default all three.

## `names` (type: `array`):

Firm-name queries, up to 200. A firm matches when every word of a query appears in its business or legal name.

## `crdNumbers` (type: `array`):

Organization CRD numbers (advisers).

## `secFileNumbers` (type: `array`):

801- (RIA), 802- (ERA) or 8- (broker-dealer) file numbers.

## `ciks` (type: `array`):

Central Index Keys (CIK).

## `states` (type: `array`):

Main-office US state codes, e.g. NY, CA.

## `countries` (type: `array`):

Main-office country as written in the source file, e.g. United Kingdom, Cayman Islands.

## `minAumUsd` (type: `integer`):

Regulatory AUM (RIAs) or private-fund gross assets (ERAs). Broker-dealers have none.

## `privateFunds` (type: `string`):

Filter on Form ADV Item 7.B.

## `disclosures` (type: `string`):

Filter on Form ADV Item 11 (firm or advisory affiliates).

## `statusSince` (type: `string`):

Only firms whose registration status took effect on or after this date (new registrations). Advisers only.

## `sortBy` (type: `string`):

AUM (largest first), name, or newest status date.

## `maxResults` (type: `integer`):

Maximum firm rows, up to 30,000.

## Actor input object example

```json
{
  "firmTypes": [
    "ria",
    "era",
    "bd"
  ],
  "states": [
    "NY"
  ],
  "privateFunds": "any",
  "disclosures": "any",
  "sortBy": "aum",
  "maxResults": 1000
}
```

# Actor output Schema

## `items` (type: `string`):

All rows from this run.

# 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 '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {
    "states": [
        "NY"
    ]
};

// Run the Actor and wait for it to finish
const run = await client.actor("lepidata/investment-adviser-bd-firms").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 '<YOUR_API_TOKEN>' with your token.
client = ApifyClient("<YOUR_API_TOKEN>")

# Prepare the Actor input
run_input = { "states": ["NY"] }

# Run the Actor and wait for it to finish
run = client.actor("lepidata/investment-adviser-bd-firms").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).iterate_items():
    print(item)

# 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start

```

## CLI example

```bash
echo '{
  "states": [
    "NY"
  ]
}' |
apify call lepidata/investment-adviser-bd-firms --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,lepidata/investment-adviser-bd-firms"
        }
    }
}
```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/6udPq6pT7Kk4PYKO2/builds/mZpfXcClpvvPhgEKS/openapi.json