# SEC Form ADV RIA Leads - AUM & Investment Adviser API (`pink_comic/sec-form-adv-ria-leads`) Actor Search the official monthly SEC registered-investment-adviser Form ADV roster. Filter RIA firms by name, CRD, state, regulatory AUM, employees, accounts, services, private funds, custody, and disclosures. Returns source-linked compliance and wealth-tech lead evidence. - **URL**: https://apify.com/pink\_comic/sec-form-adv-ria-leads.md - **Developed by:** [Ava Torres](https://apify.com/pink_comic) (community) - **Categories:** Lead generation - **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks - **User rating**: No ratings yet ## Pricing from $2.00 / 1,000 ria firm records 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/docs.md): ```bash npm install apify-client ``` In Python projects, use official [Python client library](https://docs.apify.com/api/client/python/docs.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/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 ## 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: ```json { "query": "BlackRock", "statuses": ["Approved"], "sortBy": "aum_desc", "maxResults": 25 } ```` Build a state-level RIA prospect list with at least $1 billion in regulatory AUM: ```json { "states": ["CA", "NY", "TX"], "statuses": ["Approved"], "minRegulatoryAum": 1000000000, "services": ["portfolio_management_individuals"], "sortBy": "aum_desc", "maxResults": 250 } ``` Screen an exact firm: ```json { "crdNumber": "106614", "maxResults": 10 } ``` Find private-fund advisers with reported custody and disciplinary disclosure answers: ```json { "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](https://www.sec.gov/data-research/sec-markets-data/information-about-registered-investment-advisers-exempt-reporting-advisers) - [Investment Adviser Public Disclosure (IAPD)](https://adviserinfo.sec.gov/) - [SEC Form ADV data documentation](https://www.sec.gov/foia-services/frequently-requested-documents/form-adv-data) # Actor input Schema ## `query` (type: `string`): Case-insensitive firm name, legal name, website, CRD, SEC number, or CIK search. ## `crdNumber` (type: `string`): Exact firm CRD number. Takes precedence over broad name matching. ## `secNumber` (type: `string`): Exact SEC adviser file number, such as 801-47710. ## `states` (type: `array`): Optional two-letter main-office state codes. Empty means all states and countries. ## `statuses` (type: `array`): Exact SEC status values. Approved is the useful default for current-firm screening. ## `services` (type: `array`): Every selected Form ADV service must be reported by the firm. ## `minRegulatoryAum` (type: `integer`): Minimum Form ADV Item 5.F regulatory assets under management. ## `maxRegulatoryAum` (type: `integer`): Maximum regulatory AUM. Zero means no maximum. ## `minEmployees` (type: `integer`): Minimum total employees reported in Form ADV Item 5.A. ## `minAccounts` (type: `integer`): Minimum total discretionary plus non-discretionary accounts reported in Item 5.F. ## `disclosureFilter` (type: `string`): Filter on Form ADV Item 11 disciplinary disclosure answers. ## `privateFundFilter` (type: `string`): Filter firms that report advising private funds in Form ADV Item 7.B. ## `custodyFilter` (type: `string`): Filter firms reporting custody or a positive custody amount in Form ADV Item 9. ## `sortBy` (type: `string`): Order matched firms after all filters are applied. ## `maxResults` (type: `integer`): Total response cap after all filters and sorting. ## Actor input object example ```json { "query": "BlackRock", "states": [], "statuses": [ "Approved" ], "services": [], "minRegulatoryAum": 0, "maxRegulatoryAum": 0, "minEmployees": 0, "minAccounts": 0, "disclosureFilter": "any", "privateFundFilter": "any", "custodyFilter": "any", "sortBy": "aum_desc", "maxResults": 25 } ``` # 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 = { "query": "BlackRock", "statuses": [ "Approved" ], "maxResults": 25 }; // Run the Actor and wait for it to finish const run = await client.actor("pink_comic/sec-form-adv-ria-leads").call(input); // Fetch and print Actor results from the run's dataset (if any) console.log('Results from dataset'); console.log(`💾 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); }); // 📚 Want to learn more 📖? Go to → 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 = { "query": "BlackRock", "statuses": ["Approved"], "maxResults": 25, } # Run the Actor and wait for it to finish run = client.actor("pink_comic/sec-form-adv-ria-leads").call(run_input=run_input) # Fetch and print Actor results from the run's dataset (if there are any) print("💾 Check your data here: https://console.apify.com/storage/datasets/" + run["defaultDatasetId"]) for item in client.dataset(run["defaultDatasetId"]).iterate_items(): print(item) # 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start ``` ## CLI example ```bash echo '{ "query": "BlackRock", "statuses": [ "Approved" ], "maxResults": 25 }' | apify call pink_comic/sec-form-adv-ria-leads --silent --output-dataset ``` ## MCP server setup ```json { "mcpServers": { "apify": { "command": "npx", "args": [ "mcp-remote", "https://mcp.apify.com/?tools=pink_comic/sec-form-adv-ria-leads", "--header", "Authorization: Bearer " ] } } } ``` ## OpenAPI specification ```json { "openapi": "3.0.1", "info": { "title": "SEC Form ADV RIA Leads - AUM & Investment Adviser API", "description": "Search the official monthly SEC registered-investment-adviser Form ADV roster. Filter RIA firms by name, CRD, state, regulatory AUM, employees, accounts, services, private funds, custody, and disclosures. Returns source-linked compliance and wealth-tech lead evidence.", "version": "0.1", "x-build-id": "7yCl4AjKJDOodZj6a" }, "servers": [ { "url": "https://api.apify.com/v2" } ], "paths": { "/acts/pink_comic~sec-form-adv-ria-leads/run-sync-get-dataset-items": { "post": { "operationId": "run-sync-get-dataset-items-pink_comic-sec-form-adv-ria-leads", "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": { "$ref": "#/components/schemas/inputSchema" } } } }, "parameters": [ { "name": "token", "in": "query", "required": true, "schema": { "type": "string" }, "description": "Enter your Apify token here" } ], "responses": { "200": { "description": "OK" } } } }, "/acts/pink_comic~sec-form-adv-ria-leads/runs": { "post": { "operationId": "runs-sync-pink_comic-sec-form-adv-ria-leads", "x-openai-isConsequential": false, "summary": "Executes an Actor and returns information about the initiated run in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$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": { "$ref": "#/components/schemas/runsResponseSchema" } } } } } } }, "/acts/pink_comic~sec-form-adv-ria-leads/run-sync": { "post": { "operationId": "run-sync-pink_comic-sec-form-adv-ria-leads", "x-openai-isConsequential": false, "summary": "Executes an Actor, waits for completion, and returns the OUTPUT from Key-value store in response.", "tags": [ "Run Actor" ], "requestBody": { "required": true, "content": { "application/json": { "schema": { "$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": { "query": { "title": "Firm / Website / Identifier Search", "type": "string", "description": "Case-insensitive firm name, legal name, website, CRD, SEC number, or CIK search.", "default": "BlackRock" }, "crdNumber": { "title": "Exact Organization CRD Number", "type": "string", "description": "Exact firm CRD number. Takes precedence over broad name matching." }, "secNumber": { "title": "Exact SEC File Number", "type": "string", "description": "Exact SEC adviser file number, such as 801-47710." }, "states": { "title": "Main Office States", "type": "array", "description": "Optional two-letter main-office state codes. Empty means all states and countries.", "items": { "type": "string", "pattern": "^[A-Za-z]{2}$" }, "default": [] }, "statuses": { "title": "SEC Statuses", "type": "array", "description": "Exact SEC status values. Approved is the useful default for current-firm screening.", "items": { "type": "string" }, "default": [ "Approved" ] }, "services": { "title": "Required Advisory Services", "type": "array", "description": "Every selected Form ADV service must be reported by the firm.", "items": { "type": "string" }, "default": [] }, "minRegulatoryAum": { "title": "Minimum Regulatory AUM (USD)", "minimum": 0, "type": "integer", "description": "Minimum Form ADV Item 5.F regulatory assets under management.", "default": 0 }, "maxRegulatoryAum": { "title": "Maximum Regulatory AUM (USD)", "minimum": 0, "type": "integer", "description": "Maximum regulatory AUM. Zero means no maximum.", "default": 0 }, "minEmployees": { "title": "Minimum Employees", "minimum": 0, "type": "integer", "description": "Minimum total employees reported in Form ADV Item 5.A.", "default": 0 }, "minAccounts": { "title": "Minimum Regulatory Accounts", "minimum": 0, "type": "integer", "description": "Minimum total discretionary plus non-discretionary accounts reported in Item 5.F.", "default": 0 }, "disclosureFilter": { "title": "Firm Disclosures", "enum": [ "any", "yes", "no" ], "type": "string", "description": "Filter on Form ADV Item 11 disciplinary disclosure answers.", "default": "any" }, "privateFundFilter": { "title": "Private Fund Adviser", "enum": [ "any", "yes", "no" ], "type": "string", "description": "Filter firms that report advising private funds in Form ADV Item 7.B.", "default": "any" }, "custodyFilter": { "title": "Custody", "enum": [ "any", "yes", "no" ], "type": "string", "description": "Filter firms reporting custody or a positive custody amount in Form ADV Item 9.", "default": "any" }, "sortBy": { "title": "Sort Results", "enum": [ "aum_desc", "aum_asc", "name_asc", "filing_date_desc", "employees_desc", "accounts_desc", "disclosures_desc" ], "type": "string", "description": "Order matched firms after all filters are applied.", "default": "aum_desc" }, "maxResults": { "title": "Maximum Results", "minimum": 1, "maximum": 1000, "type": "integer", "description": "Total response cap after all filters and sorting.", "default": 25 } } }, "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 } } } } } } } } } } ```