# SEC RIA Growth & Change Leads — Form ADV (`scrapesignal_labs/sec-ria-change-monitor`) Actor

Find RIAs showing real buying signals by comparing monthly SEC Form ADV reports for new registrations and changes in AUM, employees, accounts, offices, custody, and disclosures.

- **URL**: https://apify.com/scrapesignal\_labs/sec-ria-change-monitor.md
- **Developed by:** [ScrapeSignal Labs](https://apify.com/scrapesignal_labs) (community)
- **Categories:** Lead generation, Automation, Other
- **Stats:** 2 total users, 1 monthly users, 100.0% runs succeeded, 0 bookmarks
- **User rating**: No ratings yet

## Pricing

from $3.00 / 1,000 results

This Actor is paid per event and usage. You are charged both the fixed price for specific events and for Apify platform usage.

Learn more: https://docs.apify.com/actors/running/actors-in-store.md#pay-per-event

## What's an Apify Actor?

Actors are web data automations that power AI and operations. They run on the Apify platform to scrape websites, process data, connect APIs, and automate workflows.
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.

- **AI agents and MCP clients** — the [Apify MCP server](https://docs.apify.com/integrations/mcp.md) at `https://mcp.apify.com` (remote, streamable HTTP, OAuth on first use).
- **Agentic workflows and local Actor development** — [Agent Skills](https://apify.com/.well-known/agent-skills/index.json) with the [Apify CLI](https://docs.apify.com/cli/docs.md): `npm install -g apify-cli`, then `apify login`.
- **JavaScript/TypeScript projects** — the official [JS/TS client](https://docs.apify.com/api/client/js/docs.md): `npm install apify-client`.
- **Python projects** — the official [Python client](https://docs.apify.com/api/client/python/docs.md): `pip install apify-client`.
- **Any other language** — 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 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](https://www.sec.gov/data-research/sec-markets-data/information-about-registered-investment-advisers-exempt-reporting-advisers). 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

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

# Actor input Schema

## `changeTypes` (type: `array`):

Leave all selected for a broad lead feed.

## `state` (type: `string`):

Two-letter US state code, for example CA or NY. Leave blank for all locations.

## `firmQuery` (type: `string`):

Case-insensitive search across firm names, location, CRD number, and SEC number.

## `minimumCurrentAum` (type: `number`):

Keep firms at or above this reported regulatory assets-under-management amount.

## `minimumAbsoluteAumChange` (type: `number`):

Applied only to AUM-change signals; firms can still qualify through another selected change.

## `minimumAumGrowthPercent` (type: `number`):

Applied to AUM-increase signals. Use 0 for any increase.

## `requireWebsite` (type: `boolean`):

Only save firms whose current Form ADV data includes a website.

## `maxItems` (type: `integer`):

Stop after saving this many highest-scoring firm changes.

## `currentReportUrl` (type: `string`):

Advanced: override automatic discovery with an official SEC adviser-report ZIP URL.

## `previousReportUrl` (type: `string`):

Advanced: override automatic discovery with an official SEC adviser-report ZIP URL.

## Actor input object example

```json
{
  "changeTypes": [
    "new-registration",
    "aum-increase",
    "aum-decrease",
    "employee-change",
    "office-change",
    "status-change",
    "custody-change",
    "disclosure-change",
    "profile-change"
  ],
  "state": "",
  "firmQuery": "",
  "minimumCurrentAum": 0,
  "minimumAbsoluteAumChange": 1000000,
  "minimumAumGrowthPercent": 0,
  "requireWebsite": false,
  "maxItems": 500,
  "currentReportUrl": "",
  "previousReportUrl": ""
}
```

# Actor output Schema

## `dataset` (type: `string`):

No description

# 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 = {};

// Run the Actor and wait for it to finish
const run = await client.actor("scrapesignal_labs/sec-ria-change-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 = {}

# Run the Actor and wait for it to finish
run = client.actor("scrapesignal_labs/sec-ria-change-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 '{}' |
apify call scrapesignal_labs/sec-ria-change-monitor --silent --output-dataset

```

## MCP server setup

```json
{
    "mcpServers": {
        "apify": {
            "type": "http",
            "url": "https://mcp.apify.com/?tools=fetch-actor-details,scrapesignal_labs/sec-ria-change-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/GtS0cI11OOGb5VVdn/builds/usg4LsnEMKmPKBxS7/openapi.json