💼 SEC Form ADV Investment Adviser Registration Tracker — 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 — 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 — delivered as structured JSON for cents per record.

⚡ 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 — the universal RIA identifier)
• SEC_number (SEC file number, "801-xxxxx" for registered RIAs, "802-xxxxx" for Exempt Reporting Advisers)
• AUM — 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. — Item 7.A)
• advisory_services (financial planning, portfolio management, pension consulting, etc. — Item 5.G)
• compensation_types (% of AUM, hourly, fixed-fee, performance fee, etc. — Item 5.E)
• has_custody, has_custody_cash, has_custody_securities (Item 9.A) — proxy for custodian-relationship signal
• custody_aum, custody_client_count (Item 9.A.(2))
• web_addresses (the firm's URLs from Item 1 — useful for B2B outreach validation)
• ADV_part_2_brochure_url (IAPD firm-summary page — 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 — safe to load straight into Snowflake, BigQuery, Postgres, or your CRM without re-mapping each refresh.

🎯 Use Cases

• Wealth-tech vendor sales (custodians, CRMs, portfolio-accounting platforms) — 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 — 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 — often a leading indicator of personnel turnover or M&A prep.
• Compliance — IA registration verification — 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 — direct KYC inputs.
• Custody / TAMP vendor B2B prospecting — 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.) — automate the "Find me every $200M+ RIA on Pershing" sales question.
• RIA fee benchmarking research — 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 — Filter advisory_services to include pension-consulting for the Defined Benefit / Defined Contribution consulting buyer pool (Mercer, Aon, Willis Towers Watson competitive set).

🔗 Related Actors (NexGenData Wealth-Management Intelligence Cluster)

This actor sits at the registration / firm-level layer of NexGenData's wealth-management cluster — 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
Corporate-insider buys & sells (CEO/CFO Form 4)	sec-form-4-insider-trading-scraper
Activist 13D/G 5%+ stakes	sec-schedule-13dg-activist-tracker
Material 8-K events	sec-form-8k-material-events-scraper
FINRA BrokerCheck adviser / firm DD	finra-brokercheck-search
SEC litigation releases	sec-litigation-releases

Browse the full 200+ actor catalog at https://apify.com/nexgendata?fpr=2ayu9b.

🚀 How To Use

Sample input

{
  "state_filter": "CA",
  "min_aum": 100000000,
  "max_aum": 1000000000,
  "custodian_filter": "",
  "max_firms": 100
}

Sample output (one record)

{
  "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)

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

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 — 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.

⚖️ Legal & Data Source Notes

• Investment Advisers Act of 1940 §203 + 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" — see the SEC IAPD Firm Extract Files page.
• 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 — firm-level structured fields — 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 — 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.

❓ 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-) — primarily private-fund advisers under the $150M Rule 203(m)-1 threshold — 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 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 — 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.

🏷️ 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.