SEC Form ADV RIA Leads — AUM & Investment Adviser API

Search and segment the latest official monthly SEC roster of registered investment advisers. Turn 448-column Form ADV source data into stable, source-linked firm records for RIA lead generation, wealth-tech market mapping, investment-adviser compliance checks, vendor due diligence, custodian sales, and M&A prospecting.

This actor downloads the current SEC monthly roster directly from sec.gov. No API key, login, browser, or proxy is required.

Fast start

The default search returns current BlackRock firm records and demonstrates AUM, employee, account, service, private-fund, custody, disclosure, and IAPD profile fields:

{
  "query": "BlackRock",
  "statuses": ["Approved"],
  "sortBy": "aum_desc",
  "maxResults": 25
}

Build a state-level RIA prospect list with at least $1 billion in regulatory AUM:

{
  "states": ["CA", "NY", "TX"],
  "statuses": ["Approved"],
  "minRegulatoryAum": 1000000000,
  "services": ["portfolio_management_individuals"],
  "sortBy": "aum_desc",
  "maxResults": 250
}

Screen an exact firm:

{
  "crdNumber": "106614",
  "maxResults": 10
}

Find private-fund advisers with reported custody and disciplinary disclosure answers:

{
  "privateFundFilter": "yes",
  "custodyFilter": "yes",
  "disclosureFilter": "yes",
  "minRegulatoryAum": 500000000,
  "sortBy": "disclosures_desc",
  "maxResults": 100
}

Filters

• firm/legal name, website, CRD, SEC number, or CIK through query
• exact organization CRD or SEC file number
• main-office states and SEC registration statuses
• minimum/maximum regulatory AUM
• minimum employees and regulatory accounts
• required advisory services from Form ADV Item 5.G
• private-fund adviser, custody, and disciplinary-disclosure tri-state filters
• AUM, firm name, filing date, employees, accounts, or disclosure-count sorting
• total maxResults cap from 1–1,000

All selected filters are combined. Selected services use AND semantics: a firm must report every requested service.

Output

Each current roster match has 70+ stable evidence keys, including:

• business/legal name, CRD, SEC number, CIK, website, and phone
• main-office address and private-residence flag
• SEC status/effective date, region, jurisdiction notice filings, latest ADV date, and form version
• organization type, formation jurisdiction, umbrella registration, and relying-adviser count
• employee, investment-adviser employee, client, and account counts
• discretionary, non-discretionary, total regulatory, and non-US AUM
• friendly advisory-service labels
• client-type count/range/AUM breakdown
• wrap-fee program evidence
• private-fund counts and gross assets by major fund category
• custody evidence and amount
• disciplinary disclosure flag and aggregate Item 11 disclosure count
• direct IAPD firm profile and Form CRS links
• official source URL, snapshot date, last-modified date, and evidence caveats

No-match runs return an explicit NO_MATCHES evidence item rather than an ambiguous empty dataset. Temporary SEC source failures return SOURCE_UNAVAILABLE without claiming a registration conclusion.

Use cases

• RIA and wealth-management lead lists segmented by AUM, state, clients, and services
• investment-adviser registration and Form ADV screening
• wealth-tech, custodian, compliance-software, and fintech sales prospecting
• RIA M&A and competitor market mapping
• private-fund adviser and custody research
• recurring Form ADV roster snapshots and filing-freshness checks
• sourced due-diligence evidence for KYB, vendor-risk, and agent workflows

Important scope and interpretation

This product searches the SEC's current monthly SEC-registered investment-adviser roster. It does not cover every state-registered adviser or individual investment adviser representative. Use IAPD or the relevant state regulator when the SEC roster is not the appropriate scope.

Form ADV information is filed by the adviser and published by the SEC. A match, status, asset value, or disclosure answer is screening evidence — not an SEC endorsement, audit, enforcement-clearance, or suitability determination. Blank or zero-valued fields may mean not reported, not applicable, or zero. Confirm material decisions against the current linked IAPD profile and Form ADV.

Official sources

• SEC registered and exempt investment adviser reports
• Investment Adviser Public Disclosure (IAPD)
• SEC Form ADV data documentation