# Australia ASIC Financial Adviser Portfolio Status Monitor (`plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor`) Actor

Watch named ASIC Financial Advisers Register adviser numbers; emit registration status, banning/disciplinary, CPD-failure and AFSL authorisation added/ceased events from the official ASIC Financial Advisers Dataset (data.gov.au). Portfolio PPE only - not a FAR dump.

- **URL**: https://apify.com/plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor.md
- **Developed by:** [Daniel Witney](https://apify.com/plym-actor-factory) (community)
- **Categories:** Business, Automation, AI
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $20.00 / 1,000 asic adviser status event delivereds

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/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

An Actor is a serverless cloud program that runs on the Apify platform. It has two run modes.
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.

Apify vocabulary and the platform model are defined once, in the agent quickstart at https://apify.com/agents.md.

## 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.

Do not guess an integration path. Every one of them is in the agent quickstart at https://apify.com/agents.md: the Apify MCP server, Agent Skills with the Apify CLI, the JavaScript and Python clients, the REST API, and the account-free path for an agent with no human to sign in. It also carries the rule on stating cost before the first paid run.

For examples already wired to this Actor's own input schema, see the [API](#api) section below.

Each client library has reference documentation the quickstart does not restate: [JavaScript/TypeScript](https://docs.apify.com/api/client/js/docs.md) (`npm install apify-client`) and [Python](https://docs.apify.com/api/client/python/docs.md) (`pip install apify-client`).

# README

## Australia ASIC Financial Adviser Portfolio Status Monitor

Watch named **ASIC Financial Advisers Register (FAR) adviser numbers** against the official ASIC **Financial Advisers Dataset** published weekly on [data.gov.au](https://data.gov.au/data/dataset/asic-financial-adviser) (CC BY 3.0 AU).

**Who this is for:** AFS licensee compliance managers watching their own and recruited advisers; superannuation trustees and platforms that check an adviser is still registered before deducting or paying advice fees; professional-indemnity insurers; product issuers and research houses with adviser distribution lists; accountant / mortgage-broker referral networks; and compliance consultants. The recurring job is the same each week: **tell me when someone on my adviser list stops being registered, gets banned, fails CPD, or moves licensee.**

Billable events (PPE `asic-adviser-status-event-delivered` @ $0.02):

| Group | Event | Meaning |
|-------|-------|---------|
| `status` | `STATUS_CHANGED` | Overall registration status changed (Registered / Not Registered / Prohibited) |
| `status` | `DISCIPLINARY_ACTION_ADDED` | New banning / disqualification / enforceable undertaking / FSCP action / registration prohibition or suspension order on the register |
| `status` | `CPD_FAILURE_RECORDED` | CPD failure year recorded against the adviser |
| `licensee` | `AUTHORISATION_ADDED` / `AUTHORISATION_CEASED` | Adviser gained or lost a current AFSL authorisation (licensee move) |
| `licensee` | `AFSL_REGISTRATION_STATUS_CHANGED` | Registration status under a current AFSL changed (e.g. Registered → Suspended) |
| `directory` | `APPEARED` / `DROPPED` | Number appeared on / disappeared from the published file |
| `attributes` (opt-in) | `NAME_CHANGED` / `SUB_TYPE_CHANGED` | Name or sub-type (e.g. Provisional → Financial Adviser) changed |

Non-billable: `RUN_STATUS` (`FIXTURE_HEALTH`, `MONITOR_IDLE`, `CATCHUP_COMPLETE`, `HEALTH_OK`), first-run baselines, duplicates. Quiet books cost only the platform start fee.

**Not** a FAR dump billed per row (watchlist only). **Not** AFSL-level aggregate adviser-movement counts. **Not** a name-screening search tool.

### Quick start

1. Replace the example `adviserNumbers` with your watchlist (e.g. `000222780`; leading zeros optional).
2. Set `sourceMode` = **live**.
3. Save as an Actor Task and schedule weekly (ASIC republishes the dataset weekly) or daily.
4. **First run vs later runs:** run 1 baselines each adviser (no change events, no product charge). Run 2+ emits diffs against that checkpoint — keep the same Task.

Default `sourceMode=fixture` is a **free health check** (one non-billable `RUN_STATUS` row), not product data.

### What you get per $0.02 event

One delivered unique change for a named adviser, with adviser name, overall registration status, current licensee(s), disciplinary actions, before/after values, `as_of` and the official source URL. Never charged: `RUN_STATUS`, baselines, quiet `MONITOR_IDLE`, invalid numbers, duplicates, fixture SAMPLE rows.

### Example output (SAMPLE)

SAMPLE — illustrative field shape; not a real event:

```json
{
  "adviser_number": "SAMPLE02",
  "adviser_name": "EXAMPLE ADVISER B (SAMPLE)",
  "event_type": "DISCIPLINARY_ACTION_ADDED",
  "event_subtype": "AFS banned/disqualification",
  "new_value": "AFS banned/disqualification | 2026-09-20 | ",
  "registration_status": "Prohibited",
  "billable": false,
  "sample": true,
  "summary": "SAMPLE (fixture demo data with placeholder entities, not a real event)"
}
```

### Input

- `adviserNumbers` — FAR adviser numbers (aliases: `advNumbers`, `farNumbers`)
- `sourceMode` — `fixture` (free health check) | `live` (official ASIC dataset)
- `signalGroups` — `directory`, `status`, `licensee`, `attributes` (default: directory+status+licensee)

### Source and honesty notes

- Official dataset: ASIC Financial Advisers Dataset (`asic-financial-adviser` on data.gov.au); the current file is resolved from package metadata each run (file names roll monthly).
- Durable key: `ADV_NUMBER` (~42,400 unique advisers; ~14,600 currently Registered). The file has one row per authorisation / disciplinary action; this Actor aggregates per adviser. Person-level fields (name, overall status, CPD failure year) were verified consistent across rows (0 conflicts, 2026-10-05).
- Cadence: ASIC weekly republish — not a real-time push. `as_of` = data.gov.au resource last-modified date.
- Attribution: Source: Australian Securities & Investments Commission (ASIC) Financial Advisers Dataset via data.gov.au, licensed CC BY 3.0 AU. This Actor is not affiliated with or endorsed by ASIC.

### Pricing

| Event | USD |
|-------|-----|
| `asic-adviser-status-event-delivered` | $0.02 |
| `apify-actor-start` | $0.00005 |

### Limitations

- Lag follows ASIC's weekly dataset publish; always confirm decisions on ASIC's own register (Moneysmart FAR search).
- Historic advisers with blank overall status (pre-2023 registration regime) are still tracked; status events only fire on change.
- The dataset covers relevant providers (financial advisers) only — not authorised representatives who are not advisers, credit representatives or licensees.

# Actor input Schema

## `adviserNumbers` (type: `array`):

FAR adviser numbers to watch (as published, e.g. 000222780; leading zeros optional).

## `advNumbers` (type: `array`):

Optional alias merged into the watchlist.

## `farNumbers` (type: `array`):

Optional alias merged into the watchlist.

## `signalGroups` (type: `array`):

directory (APPEARED/DROPPED), status (STATUS_CHANGED / DISCIPLINARY_ACTION_ADDED / CPD_FAILURE_RECORDED), licensee (AUTHORISATION_ADDED / AUTHORISATION_CEASED / AFSL_REGISTRATION_STATUS_CHANGED), attributes (NAME_CHANGED / SUB_TYPE_CHANGED). Default: directory+status+licensee.

## `maxRunSeconds` (type: `integer`):

Wall-clock budget (dataset download + stream parse + watchlist diff).

## `maxEvents` (type: `integer`):

Stop after this many unique change events are delivered (RUN_STATUS excluded).

## `resumeFromCheckpoint` (type: `boolean`):

If true, resume adviser snapshots and seen event_uids from the default Key-Value Store (keep the same Task).

## `sourceMode` (type: `string`):

fixture = free Store/CI health check (no network; one non-billable RUN_STATUS row unless emitFixtureDemoEvents=true). live = official ASIC Financial Advisers Dataset (no API key; weekly publish). Fixture demo rows use placeholder entities, are flagged sample=true / isSample=true, billable=false, and are never charged.

## `emitFixtureDemoEvents` (type: `boolean`):

When sourceMode=fixture, emit SAMPLE demo events from local fixtures (never charged). Default false.

## `maxTotalChargeUsd` (type: `number`):

Optional soft budget hint for delivered change events.

## `asOfHint` (type: `string`):

Optional as_of label. Defaults to the data.gov.au resource last_modified date.

## `farCsvUrl` (type: `string`):

Optional override for the ASIC Financial Advisers Dataset file URL (default resolves the current resource from data.gov.au package metadata).

## Actor input object example

```json
{
  "adviserNumbers": [
    "000222780",
    "000222823"
  ],
  "signalGroups": [
    "directory",
    "status",
    "licensee"
  ],
  "maxRunSeconds": 180,
  "maxEvents": 500,
  "resumeFromCheckpoint": true,
  "sourceMode": "fixture",
  "emitFixtureDemoEvents": false
}
```

# Actor output Schema

## `OUTPUT` (type: `string`):

JSON summary: delivered, charged, runStatus, checkpoint, stats, coverage, attribution

# 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 '<YOUR_API_TOKEN>' with your token
const client = new ApifyClient({
    token: '<YOUR_API_TOKEN>',
});

// Prepare Actor input
const input = {
    "adviserNumbers": [
        "000222780",
        "000222823"
    ]
};

// Run the Actor and wait for it to finish
const run = await client.actor("plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor").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 '<YOUR_API_TOKEN>' with your token.
client = ApifyClient("<YOUR_API_TOKEN>")

# Prepare the Actor input
run_input = { "adviserNumbers": [
        "000222780",
        "000222823",
    ] }

# Run the Actor and wait for it to finish
run = client.actor("plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor").call(run_input=run_input)

# Fetch and print Actor results from the run's dataset (if there are any)
print(f"💾 Check your data here: https://console.apify.com/storage/datasets/{run.default_dataset_id}")
for item in client.dataset(run.default_dataset_id).iterate_items():
    print(item)

# 📚 Want to learn more 📖? Go to → https://docs.apify.com/api/client/python/docs/quick-start

```

## CLI example

```bash
echo '{
  "adviserNumbers": [
    "000222780",
    "000222823"
  ]
}' |
apify call plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,plym-actor-factory/au-asic-financial-adviser-number-portfolio-status-monitor"
        }
    }
}
```

The hosted server signs you in with OAuth on first connect, so no API token belongs in this config. Clients without OAuth support can send an `Authorization: Bearer <APIFY_API_TOKEN>` header instead, using a token from API & Integrations in Apify Console (https://console.apify.com/settings/integrations).

## OpenAPI specification

Download the OpenAPI definition: https://api.apify.com/v2/actors/VnitsqRIjXxgaHqNc/builds/CNnwLmVLxmWSxJL5G/openapi.json