Investment advisers

Adviser Firms - Form ADV

POSThttps://api.sec-api.io/form-adv/firm

Search the most recent Form ADV filing of every investment adviser firm registered with the SEC or a state securities regulator, including Exempt Reporting Advisers. Every field of Part 1A and Part 1B is searchable, from assets under management and client types to affiliations and disciplinary disclosures, and the data is updated once a day.

Read the guide for this API →

Authentication

Send the API key either as a header or as a query parameter. The header is preferred; the query parameter exists for cases where a header cannot be set, such as opening a URL directly in a browser.

Authorization: required header

The API key on its own. Do not prefix it with Bearer or any other word.

Example Authorization: YOUR_API_KEY

token: optional query parameter

The API key, appended to the URL. Use this only when a header is not possible.

Request body

A JSON object. Content-Type must be application/json.

query: required string

The search expression in Lucene syntax. Every field listed under Searchable fields can be used, combined with AND, OR, NOT, range queries, wildcards and nested conditions.

Example Info.FirmCrdNb:361

from: string, Maximum 10000

Index of the first result to return, used for pagination. Increment by the value of size to page through results. A single query returns at most 10000 filings, so narrow the query when more match, for example with a Filing.Dt range.

Default "0"

size: string, Maximum 50

Number of Form ADV filings to return in one response.

Default "50"

sort: array of object

Sort order. Each item maps one field to an order object, for example [{ "Info.FirmCrdNb": { "order": "desc" } }].

Default [{ "Info.FirmCrdNb": { "order": "desc" } }]

order: string

Either asc or desc.

Searchable fields

Every field below can be used inside query. 336 fields are searchable, and they match the structure of the objects returned in the response.

FieldDescription
Info.FirmCrdNbCRD number assigned by FINRA / IARD
Info.LegalNmFirm legal name
Info.BusNmPrimary business name
Info.SECNbSEC file number — e.g. "801-16048"
Info.SECRgnCDSEC regional office code (NYRO, BRO, …)
Info.UmbrRgstnUmbrella registration flag (Y / N)
MainAddr.CityPrincipal office city
MainAddr.StatePrincipal office state (US 2-letter code)

Response

A JSON object. Nested attributes are collapsed; expand one to see its fields.

total: object

How many Form ADV filings matched the query.

value: integer

Number of matching filings, capped at 10000. A value of 10000 with relation gte means more than 10000 filings matched.

relation: string

Either eq, meaning value is exact, or gte, meaning value is a floor.

filings: array of object

An array of ADV filings matching your search query. Each array item represents an entire ADV filing. Items the firm did not answer are left out of the object.

id: integer

Identifier of the adviser record. On the firm endpoint it holds the CRD number of the firm and can be used in sort.

Status codes

200Success. The response holds total and filings.
400The request body could not be parsed, the Lucene expression in query is malformed, or size is greater than 50.
403The API key is missing, or it is not valid.
429Too many requests. Slow the request rate and retry.
500Server error. Retry, and report it if it persists.