SEC RIA Growth & Change Leads — Form ADV Monitor

Find registered investment advisers showing real change—not just firms sitting in another static directory. This Actor compares the two newest official SEC Form ADV firm reports and ranks RIAs with new registrations, asset growth, hiring, office expansion, custody changes, disclosure changes, and other commercially useful signals.

Each result carries the current and prior values, calculated deltas, reported phone and website, office location, CRD and SEC numbers, opportunity score, direct IAPD profile, and links to both SEC source reports.

Why change data is more valuable than a basic RIA list

Growth and operational change can reveal buying windows. An adviser adding assets, employees, accounts, offices, custody responsibilities, or a new registration may need compliance software, cybersecurity, recruiting, insurance, custody, fund administration, wealth technology, office services, and professional advice.

Most RIA datasets answer “who exists?” This product answers “what changed since last month?”

Built for

• wealth-tech, custodian, compliance, cybersecurity, and insurance sales
• RIA recruiting, M&A sourcing, and competitive intelligence
• fund administration, audit, legal, and consulting prospecting
• market maps, scheduled alerts, CRM enrichment, and AI-agent workflows

Signals

• New SEC registrations
• Regulatory AUM increases or decreases
• Employee and office-count changes
• SEC status, custody, and disclosure changes
• Firm name, address, phone, and website changes

Each result includes current and prior metrics, calculated deltas, contact fields reported to the SEC, an opportunity score, and a direct Investment Adviser Public Disclosure profile link.

Filters

• change type
• main-office state
• firm name, city, CRD, or SEC number
• minimum current regulatory AUM
• minimum absolute AUM change
• minimum AUM growth percentage
• require a reported website
• maximum results

Results are ranked by a transparent opportunity score and then by the magnitude of AUM change.

Source and caveats

The Actor automatically discovers and compares the latest two reports from the SEC's investment-adviser data page. SEC data is self-reported through Form ADV and should be verified before outreach or decisions. The opportunity score is a transparent prospecting heuristic, not investment advice.

The report covers SEC-registered adviser firms, not every state-registered adviser or individual investment adviser representative. A changed value can reflect a new filing, correction, merger, reporting-method change, or real business change. Verify material decisions using the linked IAPD profile and current Form ADV.

Example input

{
  "state": "TX",
  "changeTypes": ["new-registration", "aum-increase", "employee-change"],
  "minimumCurrentAum": 100000000,
  "minimumAbsoluteAumChange": 10000000,
  "maxItems": 250
}