SEC Form ADV Tracker

Track Form ADV investment-adviser (RIA) records from SEC EDGAR, parsed into clean JSON. Built for analysts, funds, fintech builders and AI agents. Factual public SEC/EDGAR data — not financial or investment advice. Not affiliated with the U.S. SEC.

📊 Sample Output

firm_name	legal_name	CRD_number	SEC_number	AUM	phone
CHOKSHI & QUEEN WEALTH ADVISORS	CQ WEALTH ADVISORS, INC.	313833	801-120967	263303670	[phone on record]
BOURKE WEALTH MANAGEMENT	BOURKE WEALTH MANAGEMENT	297957	801-117257	141443457	[phone on record]
OPTIVEST, INC.	OPTIVEST, INC.	137070	801-68965	319437498	[phone on record]
WELLACRE GLOBAL WEALTH ADVISORS	WELLACRE WEALTH MANAGEMENT, LLC	306770	801-135444	104340000	[phone on record]
FRONTIER GLOBAL PARTNERS LLC	FRONTIER GLOBAL PARTNERS LLC	145341	801-71279	713090552	[phone on record]
CARMEL CAPITAL MANAGEMENT L.L.C.	CARMEL CAPITAL MANAGEMENT L.L.C.	120675	801-61225	391993000	[phone on record]

Real rows from run bbkoqIWGUAiAtMJbR on build 0.0.10 (2026-09-25), unedited apart from masked emails/phones and shortened long text; fields the source does not publish are empty.

🔧 Input reference

Field	Type	Default	What it does
state_filter	string	"CA"	Filter to RIAs whose main-office (principal place of business) is in this state. Two-letter USPS state code (e.g. CA, NY, TX, FL). Leave blank to include every state + US territor…
min_aum	integer	100000000	Drop RIAs whose total Regulatory AUM (Form ADV Item 5.F.(2)(c)) is below this floor. RIA prospecting bands: $100M+ = SEC-registered floor for most filers; $250M+ = mid-market RIA;…
max_aum	integer	1000000000	Cap RIAs whose total Regulatory AUM exceeds this ceiling. Useful for sub-segmenting the SERVICEABLE-AVAILABLE-MARKET (SAM) — e.g. $100M-$1B AUM = the sweet spot for custodian / TA…
custodian_filter	string	""	Optional custodian-name substring (case-insensitive) to match against the Form ADV Part 2 brochure URL and the firm's disclosed custody status. NOTE: the SEC bulk XML feed exposes…
max_firms	integer	100	Hard cap on adviser records pushed to the dataset (and metered for per-firm billing). Defaults to 100 (a comfortable RIA prospect batch). Tune to your prospecting budget.
include_brochure	boolean	false	OPT-IN PAID ADD-ON (default off). For each firm, locate and return the direct link to its Form ADV Part 2 brochure PDF from IAPD (brochure_pdf_url). Billed $0.10 per firm only whe…

🧾 JSON sample record

One real record from run bbkoqIWGUAiAtMJbR (emails/phones masked, long text shortened):

{
  "firm_name": "CHOKSHI & QUEEN WEALTH ADVISORS",
  "legal_name": "CQ WEALTH ADVISORS, INC.",
  "CRD_number": "313833",
  "SEC_number": "801-120967",
  "AUM": 263303670,
  "state": "CA",
  "address": {
    "street1": "4510 EXECUTIVE DRIVE",
    "street2": "SUITE 203",
    "city": "SAN DIEGO",
    "state": "CA",
    "postal_code": "92121",
    "country": "United States"
  },
  "phone": "[phone on record]",
  "fax": null,
  "mailing_address": null,
  "employee_count": 4,
  "fiduciary_advisor_count": 2,
  "organization_form": "Corporation",
  "registration_type": "Registered",
  "registration_status": "APPROVED",
  "registration_date": "2021-04-26",
  "last_filing_date": "2026-01-14",
  "form_version": "10/2021",
  "notice_filed_states": [
    "CA",
    "LA",
    "MA",
    "NV",
    "TX",
    "FL"
  ],
  "business_types": [
    "accountant-or-accounting-firm"
  ],
  "advisory_services": [
    "financial-planning-services",
    "portfolio-management-individuals-small-businesses",
    "portfolio-management-businesses-institutional",
    "pension-consulting",
    "selection-of-other-advisers"
  ],
  "compensation_types": [
    "percentage-of-aum",
    "fixed-fees"
  ],
  "compensation_other": null,
  "has_custody": false,
  "has_custody_cash": false,
  "has_custody_securities": false,
  "custody_aum": null,
  "custody_client_count": null,
  "custodian": null,
  "custodian_note": "Custodian names live in Form ADV Schedule D + the Part 2 brochure narrative; the SEC bulk XML feed exposes Part 1A only. Use ADV_part_2_brochure_url to fetch the brochure for custodian extraction.",
  "web_addresses": [
    "https://financialplanningsd.com/",
    "https://cq-wa.com/"
  ],
  "ADV_part_2_brochure_url": "https://adviserinfo.sec.gov/firm/summary/313833",
  "filing_url": "https://adviserinfo.sec.gov/firm/summary/313833",
  "sources": {
    "bulk_feed_url": "https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_09_24_2026.xml.gz",
    "iapd_homepage": "https://adviserinfo.sec.gov/IAPD/IAPDFirmExtractFiles.aspx",
    "sec_form_adv_landing": "https://www.sec.gov/about/forms/formadv.pdf"
  }
}

💰 Pricing

Event	Price (USD)	When it is charged
Actor Start (apify-actor-start)	$0.005	Charged when the Actor starts running. Number of events charged depends on Actor memory (one event per GB, minimum one event).
RIA firm (ria-firm)	$0.15	Per Form ADV registered investment adviser record extracted
Add-on: ADV Part 2 brochure (addon-brochure-adv-part2)	$0.1	Locate and return the direct link to a firm's Form ADV Part 2 brochure PDF on IAPD. Opt-in (include_brochure). Charge fires per firm with a…

Pay-per-event: you pay only for what the run delivers. A run that delivers nothing bills no result events (only the actor-start event, when the actor defines one). Example: a run that delivers 100 results costs 100 × $0.15 = $15.00 plus the start fee.

🔗 Related Actors

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• SEC Form D Tracker — New Startup Raise Alerts API
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48 more in this family on the NexGenData Store page.

📊 What you get

Clean JSON, one record per record. Key fields (full output has 34 fields):

• firm_name — Company / filer name
• last_filing_date — Filing date
• filing_url — Direct sec.gov filing link Every record carries a direct sec.gov source link.

Pricing: $0.15 per record (Pay-Per-Event) — about 6 records per $1.

🤖 Use with AI agents

Structured, source-linked SEC data built for LLM and agent pipelines — point Claude, the OpenAI Agents SDK, an n8n flow or any MCP-aware client at it and pull Form ADV investment-adviser (RIA) records on demand.

Sample agent prompt:

Pull Form ADV data for a registered investment adviser — AUM, clients and disclosures.

Agentic payments (x402): Supports agentic payment via x402 — agents can call this actor with USDC, no API key required.

⏰ Run on a schedule

The recurring frame is the point — schedule a daily or weekly pull:

{
  "maxResults": 50
}

🔗 Related SEC actors

More compliance & oversight trackers: Comment Letter Monitor, Form NT Late-Filing, Litigation Releases, Fails-to-Deliver

Agent front doors: SEC Corporate Events MCP, Regulatory Filings MCP

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Data parsed from public SEC EDGAR filings. Factual public SEC/EDGAR data — not financial or investment advice. Not affiliated with the U.S. SEC.

🔌 Optional ADV Part 2 brochure link (paid add-on)

Set include_brochure: true to locate and return the direct link to each firm's Form ADV Part 2 brochure PDF on IAPD (brochure_pdf_url). Opt-in, default off; base output is unchanged. Billed separately — $0.10 per firm, only when a brochure is actually located.