SEC Form ADV Tracker — Investment Adviser (RIA) Data
Pricing
from $150.00 / 1,000 ria firms
Track Form ADV investment-adviser (RIA) records from SEC EDGAR — parsed, source-linked JSON for analysts, funds and AI agents.
Pricing
from $150.00 / 1,000 ria firms
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NexGenData
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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.
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).
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 / TAMP / portfolio-accounting platform sales (the firms BlackRock-Aladdin and Schwab won't touch but Schwab/Fidelity will). Leave blank for no upper bound.
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 — 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'.
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.
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 when a brochure is actually located. Base output is unchanged.
