# ๐Ÿ’ผ SEC Form ADV Investment Adviser Registration Tracker (`nexgendata/sec-form-adv-investment-adviser-tracker`) Actor Pull SEC-registered RIAs from the SEC Form ADV bulk XML โ€” firm name, CRD, SEC number, regulatory AUM, state, employees, fiduciary advisor count, custody status, ADV Part 2 brochure URL. Discovery Data / Meridian-IQ alternative for RIA prospecting. - **URL**: https://apify.com/nexgendata/sec-form-adv-investment-adviser-tracker.md - **Developed by:** [NexGenData](https://apify.com/nexgendata) (community) - **Categories:** Business - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, NaN bookmarks - **User rating**: No ratings yet ## Pricing from $150.00 / 1,000 ria firms This Actor is paid per event. You are not charged for the Apify platform usage, but only a fixed price for specific events. Learn more: https://docs.apify.com/platform/actors/running/actors-in-store#pay-per-event ## What's an Apify Actor? Actors are a software tools running on the Apify platform, for all kinds of web data extraction and automation use cases. 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. Actors are written with capital "A". ## 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. The best way to integrate Actors is as follows. In JavaScript/TypeScript projects, use official [JavaScript/TypeScript client](https://docs.apify.com/api/client/js.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python.md): ```bash pip install apify-client ``` In shell scripts, use [Apify CLI](https://docs.apify.com/cli/docs.md): ````bash # MacOS / Linux curl -fsSL https://apify.com/install-cli.sh | bash # Windows irm https://apify.com/install-cli.ps1 | iex ```bash In AI frameworks, you might use the [Apify MCP server](https://docs.apify.com/platform/integrations/mcp.md). If your project is in a different language, use the [REST API](https://docs.apify.com/api/v2.md). For usage examples, see the [API](#api) section below. For more details, see Apify documentation as [Markdown index](https://docs.apify.com/llms.txt) and [Markdown full-text](https://docs.apify.com/llms-full.txt). # README ## ๐Ÿ’ผ SEC Form ADV Investment Adviser Registration Tracker โ€” the $5K-$25K/seat/yr RIA prospecting database, delivered as pay-per-record JSON Pull every SEC-registered Investment Adviser (RIA) from the official IAPD Form ADV bulk XML โ€” firm name, CRD number, SEC number, regulatory AUM, state, address, employee count, fiduciary advisor count, custody status, last filing date, business types, and a direct link to the Form ADV Part 2 brochure for downstream custodian / fee narrative extraction. The SEC IAPD bulk feed covers ~15,000 SEC-registered Investment Advisers plus 5,000+ Exempt Reporting Advisers, encompassing the entire ~$120 trillion US RIA market. Filter by state, AUM band, and custodian relationship signal. > **One actor. One token. The RIA-prospecting dataset behind Discovery Data, Meridian-IQ, and SmartAsset's adviser-leads engine โ€” delivered as structured JSON for cents per record.** ### โšก What You Get Every record returned by this actor is structured JSON with the fields below populated wherever the Form ADV Part 1A source filing provides them: - `firm_name`, `legal_name` - `CRD_number` (FINRA Central Registration Depository ID โ€” the universal RIA identifier) - `SEC_number` (SEC file number, "801-xxxxx" for registered RIAs, "802-xxxxx" for Exempt Reporting Advisers) - `AUM` โ€” Regulatory Assets Under Management in USD (Form ADV Item 5.F.(2)(c)) - `state`, `address` (street1, street2, city, state, postal_code, country), `phone`, `fax` - `mailing_address` (when separate from main office) - `employee_count` (Item 5.A total employees) - `fiduciary_advisor_count` (Item 5.B.(1) employees performing investment-advisory functions) - `organization_form` (Corporation, LLC, Limited Partnership, etc.) - `registration_type` (Registered RIA vs Exempt Reporting Adviser), `registration_status`, `registration_date` - `last_filing_date`, `form_version` - `notice_filed_states` (every state the RIA has notice-filed in) - `business_types` (broker-dealer affiliation, accountant, lawyer, swap dealer, etc. โ€” Item 7.A) - `advisory_services` (financial planning, portfolio management, pension consulting, etc. โ€” Item 5.G) - `compensation_types` (% of AUM, hourly, fixed-fee, performance fee, etc. โ€” Item 5.E) - `has_custody`, `has_custody_cash`, `has_custody_securities` (Item 9.A) โ€” proxy for custodian-relationship signal - `custody_aum`, `custody_client_count` (Item 9.A.(2)) - `web_addresses` (the firm's URLs from Item 1 โ€” useful for B2B outreach validation) - `ADV_part_2_brochure_url` (IAPD firm-summary page โ€” direct link to the Part 2 brochure PDF) - `filing_url`, `sources` (full audit trail of bulk-feed URLs) The output schema is stable across runs โ€” safe to load straight into Snowflake, BigQuery, Postgres, or your CRM without re-mapping each refresh. ### ๐ŸŽฏ Use Cases - **Wealth-tech vendor sales (custodians, CRMs, portfolio-accounting platforms)** โ€” Set `state_filter=CA`, `min_aum=100000000`, `max_aum=1000000000` to get every California RIA in the $100M-$1B "sweet spot" tier: too big to use a Schwab retail account, too small to have its own back-office team. This is the canonical Black Diamond / Orion / Tamarac / Addepar TAM. Comparable: Discovery Data Adviser Database at $5K-$25K/seat/yr; Meridian-IQ Adviser Insights at $12K+/yr per user. - **RIA recruiting / M&A intelligence** โ€” Filter to `min_aum=250000000` for buyer-side M&A scouting (Focus Financial, Wealth Enhancement Group, Hightower-tier acquirers target the $250M-$2B RIA band) or to `fiduciary_advisor_count <= 3` to identify lifestyle-RIA succession candidates. The `last_filing_date` field surfaces RIAs that recently amended ADV โ€” often a leading indicator of personnel turnover or M&A prep. - **Compliance โ€” IA registration verification** โ€” Daily refresh to verify a counterparty's SEC registration status, registration date, and AUM band before signing a sub-advisor / sub-allocator agreement. The `registration_status` field flags `PENDING`, `WITHDRAWN`, `SUSPENDED`, `TERMINATED` โ€” direct KYC inputs. - **Custody / TAMP vendor B2B prospecting** โ€” Combine `has_custody=true` (signals an existing custody-arrangement that may be open to switching) with the `ADV_part_2_brochure_url` to surface the brochure narrative naming the incumbent custodian (Schwab, Fidelity, Pershing, etc.) โ€” automate the "Find me every $200M+ RIA on Pershing" sales question. - **RIA fee benchmarking research** โ€” The `compensation_types` array shows which fee structures each RIA uses (% of AUM vs hourly vs fixed-fee vs performance-fee). Aggregate across the dataset for percentile benchmarks comparable to InvestmentNews' annual fee-benchmark report. - **Pension / institutional consultant scouting** โ€” Filter `advisory_services` to include `pension-consulting` for the Defined Benefit / Defined Contribution consulting buyer pool (Mercer, Aon, Willis Towers Watson competitive set). ### ๐Ÿ”— Related Actors (NexGenData Wealth-Management Intelligence Cluster) This actor sits at the registration / firm-level layer of NexGenData's wealth-management cluster โ€” pair with the SEC / regulatory feeds for end-to-end coverage of the institutional investor pipeline: | Use case | Actor | |----------|-------| | Hedge-fund quarterly equity holdings (Form 13F) | [sec-form-13f-tracker-pro](https://apify.com/nexgendata/sec-form-13f-tracker-pro?fpr=2ayu9b) | | Corporate-insider buys & sells (CEO/CFO Form 4) | [sec-form-4-insider-trading-scraper](https://apify.com/nexgendata/sec-form-4-insider-trading-scraper?fpr=2ayu9b) | | Activist 13D/G 5%+ stakes | [sec-schedule-13dg-activist-tracker](https://apify.com/nexgendata/sec-schedule-13dg-activist-tracker?fpr=2ayu9b) | | Material 8-K events | [sec-form-8k-material-events-scraper](https://apify.com/nexgendata/sec-form-8k-material-events-scraper?fpr=2ayu9b) | | FINRA BrokerCheck adviser / firm DD | [finra-brokercheck-search](https://apify.com/nexgendata/finra-brokercheck-search?fpr=2ayu9b) | | SEC litigation releases | [sec-litigation-releases](https://apify.com/nexgendata/sec-litigation-releases?fpr=2ayu9b) | Browse the full 200+ actor catalog at **https://apify.com/nexgendata?fpr=2ayu9b**. ### ๐Ÿš€ How To Use #### Sample input ```json { "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "custodian_filter": "", "max_firms": 100 } ```` #### Sample output (one record) ```json { "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": "858-550-0030", "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"], "has_custody": false, "has_custody_cash": false, "has_custody_securities": false, "custody_aum": null, "custody_client_count": null, "custodian": null, "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_05_30_2026.xml.gz", "iapd_homepage": "https://adviserinfo.sec.gov/IAPD/IAPDFirmExtractFiles.aspx", "sec_form_adv_landing": "https://www.sec.gov/about/forms/formadv.pdf" } } ``` #### Python (apify-client) ```python from apify_client import ApifyClient client = ApifyClient("YOUR_APIFY_TOKEN") run = client.actor("nexgendata/sec-form-adv-investment-adviser-tracker").call(run_input={ "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "max_firms": 100, }) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item["firm_name"], item["CRD_number"], item["AUM"], item["fiduciary_advisor_count"]) ``` #### cURL ```bash curl -X POST "https://api.apify.com/v2/acts/nexgendata~sec-form-adv-investment-adviser-tracker/run-sync-get-dataset-items?token=YOUR_APIFY_TOKEN" \ -H "Content-Type: application/json" \ -d '{ "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "max_firms": 100 }' ``` Schedule monthly via Apify's built-in scheduler โ€” the SEC publishes a fresh IAPD bulk feed approximately weekly (most often on Saturdays), so a 1st-of-month run catches every newly-registered or newly-amended adviser. ### โš–๏ธ Legal & Data Source Notes - **Investment Advisers Act of 1940 ยง203 + Rule 203-1** mandate public disclosure of every SEC-registered Investment Adviser's Form ADV filings. The SEC IAPD bulk XML compilation reports are explicitly published for "researchers, market participants, and state securities regulators" โ€” see the [SEC IAPD Firm Extract Files page](https://adviserinfo.sec.gov/IAPD/IAPDFirmExtractFiles.aspx). - **No anti-bot, no auth.** The bulk gzipped XML files live on the official SEC `reports.adviserinfo.sec.gov` CDN. This actor only reads from the official publication path. - **User-Agent compliance.** Per SEC fair-access policy, every request from this actor identifies itself as `NexGenData SEC Form ADV Actor hello@thenextgennexus.com` so the SEC can contact the operator if needed. - **Bulk feed coverage.** The SEC bulk feed exposes Form ADV Part 1A โ€” firm-level structured fields โ€” for all SEC-registered Investment Advisers and Exempt Reporting Advisers. Part 1B (state-registered advisers only) and Part 2 (the brochure narrative) live on the IAPD per-firm pages. The `ADV_part_2_brochure_url` field gives a direct link to the firm-summary page where the Part 2 brochure PDF can be retrieved. - **Custodian field limitation.** Custodian *names* are NOT in the bulk Part 1A feed โ€” they live in Form ADV Schedule D (Item 9 detail) and the Part 2 brochure narrative. This actor exposes the `has_custody` / `has_custody_cash` / `has_custody_securities` flags (Item 9.A) as the strongest custody-relationship signal available without per-firm scraping, plus the brochure URL for downstream NLP. The `custodian_filter` input parameter applies a heuristic match against firm name + has-custody flag rather than the underlying custodian name. ### โ“ FAQ **Q: How current is the data?** A: The SEC IAPD bulk Form ADV feeds are typically refreshed weekly, most often on Saturdays. This actor auto-discovers the most recently-published feed by walking back from today's date and picking the newest one available. **Q: What's the difference between Registered and ERA?** A: `Registered` advisers are full SEC-registered Investment Advisers (SEC number prefix `801-`), required to file the complete Form ADV Part 1A. `ERA` advisers are Exempt Reporting Advisers (SEC number prefix `802-`) โ€” primarily private-fund advisers under the $150M Rule 203(m)-1 threshold โ€” who file an abbreviated Form ADV. ERAs typically have null AUM and null employee counts in the bulk feed. **Q: Why is `AUM` null for some firms?** A: Exempt Reporting Advisers (FirmType=`ERA`) only complete the partial Form ADV; the Regulatory AUM field (Item 5.F.(2)(c)) is typically blank for them. Set `min_aum=0` to include ERA firms. **Q: What's the CRD\_number used for?** A: It's the universal RIA / broker-dealer firm identifier maintained by FINRA's Central Registration Depository. Use it to join against [finra-brokercheck-search](https://apify.com/nexgendata/finra-brokercheck-search?fpr=2ayu9b) for the firm's broker-dealer dual-registration history and BrokerCheck disciplinary record. **Q: How do I get the actual custodian name?** A: For each firm, follow the `ADV_part_2_brochure_url` to the IAPD firm-summary page, then download the Form ADV Part 2 brochure PDF (typically named "Brochure" on the firm summary page). The custodian is named in the "Custody" section of the brochure narrative (Item 15 of Part 2A). The `has_custody` flag from this actor pre-filters firms that have a custody relationship at all. **Q: Are state-registered RIAs included?** A: This actor reads the SEC-registered IA feed (`IA_FIRM_SEC_Feed`). State-registered advisers (typically RIAs under $100M AUM that haven't graduated to SEC registration) file Form ADV Part 1B with their state securities regulator and are tracked in a separate per-state feed (`IA_FIRM_State_Feed`). For state-registered coverage, lower `min_aum` to 0 and accept that the bulk SEC feed will still skew toward $100M+ firms. A state-registered-IA version of this actor is on NexGenData's Wave 9 roadmap. **Q: How do I find RIAs using a specific custodian (e.g. Schwab, Pershing)?** A: Two options. (1) Set `custodian_filter` to the custodian name โ€” this returns RIAs that have-custody=Yes plus any whose firm name contains the custodian substring. (2) For exact custodian matching, take the output of this actor, follow each `ADV_part_2_brochure_url` to retrieve the brochure PDF, and run NLP / regex over the Custody section. NexGenData's roadmap includes an enrichment actor that does the brochure-NLP join. ### ๐Ÿท๏ธ About NexGenData NexGenData publishes 200+ buyer-intent Apify actors covering SEC filings, federal regulatory data (DOL, FDA, FCC, EPA, FTC, CFPB, FEC, IRS 990, FAA), private-market intelligence (Form D, IPO, 13F, 13D/G, ADV), stock screeners across 30+ exchanges (NYSE, NASDAQ, LSE, TSX, ASX, HKEX, KOSPI, SGX, B3, BSE), B2B lead generation, and competitive intelligence. All actors are **pay-per-result** with no seat licences and no minimum commitments. Browse the full catalog and start a free run at **https://apify.com/nexgendata?fpr=2ayu9b**. # Actor input Schema ## `state_filter` (type: `string`): 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 territory. Foreign-based advisers are excluded by any non-blank state filter regardless of value. ## `min_aum` (type: `integer`): 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; $1B+ = institutional. Set to 0 to include all advisers (including state-registered Exempt Reporting Advisers, which often report partial or zero AUM). ## `max_aum` (type: `integer`): Cap RIAs whose total Regulatory AUM exceeds this ceiling. Useful for sub-segmenting the SERVICEABLE-AVAILABLE-MARKET (SAM) โ€” e.g. $100M-$1B AUM = the sweet spot for custodian / TAMP / portfolio-accounting platform sales (the firms BlackRock-Aladdin and Schwab won't touch but Schwab/Fidelity will). Leave blank for no upper bound. ## `custodian_filter` (type: `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 Form ADV Part 1A only โ€” custodian *names* live in Schedule D and the Part 2 brochure narrative, not in the bulk feed. When a custodian filter is supplied, this actor flags firms whose disclosure documents are reasonable candidates (has-custody = Yes per Item 9.A) and surfaces the brochure URL for downstream NLP. Leave blank to skip this filter. Example: 'Schwab', 'Fidelity', 'Pershing'. ## `max_firms` (type: `integer`): 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. ## Actor input object example ```json { "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "max_firms": 100 } ``` # 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 '' with your token const client = new ApifyClient({ token: '', }); // Prepare Actor input const input = { "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "custodian_filter": "", "max_firms": 100 }; // Run the Actor and wait for it to finish const run = await client.actor("nexgendata/sec-form-adv-investment-adviser-tracker").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`๐Ÿ’พ 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); }); // ๐Ÿ“š Want to learn more ๐Ÿ“–? Go to โ†’ 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 '' with your token. client = ApifyClient("") # Prepare the Actor input run_input = { "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "custodian_filter": "", "max_firms": 100, } # Run the Actor and wait for it to finish run = client.actor("nexgendata/sec-form-adv-investment-adviser-tracker").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("๐Ÿ’พ Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # ๐Ÿ“š Want to learn more ๐Ÿ“–? Go to โ†’ https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "state_filter": "CA", "min_aum": 100000000, "max_aum": 1000000000, "custodian_filter": "", "max_firms": 100 }' | apify call nexgendata/sec-form-adv-investment-adviser-tracker --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=nexgendata/sec-form-adv-investment-adviser-tracker", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "๐Ÿ’ผ SEC Form ADV Investment Adviser Registration Tracker", "description": "Pull SEC-registered RIAs from the SEC Form ADV bulk XML โ€” firm name, CRD, SEC number, regulatory AUM, state, employees, fiduciary advisor count, custody status, ADV Part 2 brochure URL. Discovery Data / Meridian-IQ alternative for RIA prospecting.", "version": "0.0", "x-build-id": "ByOw26RnbN0qum5Br" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/nexgendata~sec-form-adv-investment-adviser-tracker/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-nexgendata-sec-form-adv-investment-adviser-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for its completion, and returns Actor's dataset items in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/nexgendata~sec-form-adv-investment-adviser-tracker/runs": { "post": { "operationId": "runs-sync-nexgendata-sec-form-adv-investment-adviser-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/nexgendata~sec-form-adv-investment-adviser-tracker/run-sync": { "post": { "operationId": "run-sync-nexgendata-sec-form-adv-investment-adviser-tracker", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } } }, "components": { "schemas": { "inputSchema": { "type": "object", "properties": { "state_filter": { "title": "State filter (2-letter US state)", "pattern": "^[A-Za-z]{0,2}$", "type": "string", "description": "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 territory. Foreign-based advisers are excluded by any non-blank state filter regardless of value." }, "min_aum": { "title": "Minimum Regulatory AUM (USD)", "minimum": 0, "type": "integer", "description": "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; $1B+ = institutional. Set to 0 to include all advisers (including state-registered Exempt Reporting Advisers, which often report partial or zero AUM).", "default": 100000000 }, "max_aum": { "title": "Maximum Regulatory AUM (USD)", "minimum": 0, "type": "integer", "description": "Cap RIAs whose total Regulatory AUM exceeds this ceiling. Useful for sub-segmenting the SERVICEABLE-AVAILABLE-MARKET (SAM) โ€” e.g. $100M-$1B AUM = the sweet spot for custodian / TAMP / portfolio-accounting platform sales (the firms BlackRock-Aladdin and Schwab won't touch but Schwab/Fidelity will). Leave blank for no upper bound." }, "custodian_filter": { "title": "Custodian filter (case-insensitive substring)", "pattern": "^[A-Za-z0-9 .,&'-]*$", "type": "string", "description": "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 Form ADV Part 1A only โ€” custodian *names* live in Schedule D and the Part 2 brochure narrative, not in the bulk feed. When a custodian filter is supplied, this actor flags firms whose disclosure documents are reasonable candidates (has-custody = Yes per Item 9.A) and surfaces the brochure URL for downstream NLP. Leave blank to skip this filter. Example: 'Schwab', 'Fidelity', 'Pershing'." }, "max_firms": { "title": "Max RIAs to return", "minimum": 1, "maximum": 2000, "type": "integer", "description": "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.", "default": 100 } } }, "runsResponseSchema": { "type": "object", "properties": { "data": { "type": "object", "properties": { "id": { "type": "string" }, "actId": { "type": "string" }, "userId": { "type": "string" }, "startedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "finishedAt": { "type": "string", "format": "date-time", "example": "2025-01-08T00:00:00.000Z" }, "status": { "type": "string", "example": "READY" }, "meta": { "type": "object", "properties": { "origin": { "type": "string", "example": "API" }, "userAgent": { "type": "string" } } }, "stats": { "type": "object", "properties": { "inputBodyLen": { "type": "integer", "example": 2000 }, "rebootCount": { "type": "integer", "example": 0 }, "restartCount": { "type": "integer", "example": 0 }, "resurrectCount": { "type": "integer", "example": 0 }, "computeUnits": { "type": "integer", "example": 0 } } }, "options": { "type": "object", "properties": { "build": { "type": "string", "example": "latest" }, "timeoutSecs": { "type": "integer", "example": 300 }, "memoryMbytes": { "type": "integer", "example": 1024 }, "diskMbytes": { "type": "integer", "example": 2048 } } }, "buildId": { "type": "string" }, "defaultKeyValueStoreId": { "type": "string" }, "defaultDatasetId": { "type": "string" }, "defaultRequestQueueId": { "type": "string" }, "buildNumber": { "type": "string", "example": "1.0.0" }, "containerUrl": { "type": "string" }, "usage": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "integer", "example": 1 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } }, "usageTotalUsd": { "type": "number", "example": 0.00005 }, "usageUsd": { "type": "object", "properties": { "ACTOR_COMPUTE_UNITS": { "type": "integer", "example": 0 }, "DATASET_READS": { "type": "integer", "example": 0 }, "DATASET_WRITES": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_READS": { "type": "integer", "example": 0 }, "KEY_VALUE_STORE_WRITES": { "type": "number", "example": 0.00005 }, "KEY_VALUE_STORE_LISTS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_READS": { "type": "integer", "example": 0 }, "REQUEST_QUEUE_WRITES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_INTERNAL_GBYTES": { "type": "integer", "example": 0 }, "DATA_TRANSFER_EXTERNAL_GBYTES": { "type": "integer", "example": 0 }, "PROXY_RESIDENTIAL_TRANSFER_GBYTES": { "type": "integer", "example": 0 }, "PROXY_SERPS": { "type": "integer", "example": 0 } } } } } } } } } } ```