SEC Form ADV Tracker

Form ADV data and RIA data from SEC filings: registered investment advisers by state and AUM.

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.

📊 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.

🔌 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.

Run it on a schedule

A weekly run suits most RIA prospecting and research. The actor reads the SEC adviser bulk feed, which is published as a dated file, so new registrations and refreshed Form ADV filings show up over time rather than all at once. Between runs you will see new firms enter your state and AUM band, and updated values on existing firms such as AUM, employee_count, registration_status and last_filing_date. The actor has no built-in new-only mode, so compare runs by CRD_number to find firms that are new to your list. Send each run's results onward with a webhook, Google Sheets, Zapier, Make or the Apify API.

Video guides from Apify: Schedule your Actor · Integrations

FAQ

Why use this instead of the SEC adviser search (IAPD)?

The SEC data is free. IAPD is built for looking up one firm at a time, and the bulk download is a large compressed XML file. This actor parses that feed into clean JSON, one row per adviser, filtered by state and AUM range, with a source link on every record. It needs no API key, runs on a schedule, and you pay per firm returned. It is not affiliated with the SEC.

What does a typical run cost?

You pay per result, not for run time: $0.15 for each row in the results, plus $0.005 per run start (charged per GB of run memory, minimum one). A run that returns 25 RIA firms costs about $3.75. Optional extras are charged only when you turn them on: ADV Part 2 brochure add-on per firm $0.10. Live prices are always shown in the Pricing tab.

How do I get a list of RIAs in one state within an assets range?

Set state_filter to the two-letter state code (for example CA), then set min_aum and max_aum to the regulatory AUM range you want, in whole US dollars. Use max_firms to cap how many records you get (default 100). Each row includes firm and legal name, CRD and SEC numbers, regulatory AUM, address, employee count, advisory services, compensation types and custody flags.

Does Form ADV data include each RIA's custodian?

Not in the base output. The SEC bulk feed only covers Form ADV Part 1A, and custodian names live in Schedule D and the Part 2 brochure, so custodian is usually empty. The actor gives you a brochure link so you can look it up. Set include_brochure to true to get the direct Part 2 brochure PDF link, a paid add-on charged only when a brochure is found.

Does it return contact emails for advisers?

No. It returns what the filing publishes, such as phone, address and website addresses. It does not return individual adviser emails.

Related actors

• Financial Adviser Directory — BrokerCheck & IAPD Records API — add individual adviser records to firm-level ADV data.
• FINRA BrokerCheck Search — Firm & Broker Records API — check broker-dealer and broker records for the same firms.
• SEC Form 13F Tracker Pro — Institutional Holdings API — see what larger advisers actually hold.
• DOL Form 5500 Leads — ERISA Plan Sponsor Prospects API — find retirement plan sponsors for adviser prospecting.
• Company Email Finder — B2B Contact Discovery API — find published emails on adviser website domains.