Investment advisers
Direct Owners - Form ADV Schedule A
https://api.sec-api.io/form-adv/schedule-a-direct-owners/{crd}Look up the direct owners and executive officers an investment adviser discloses in Schedule A of its Form ADV, by the firm CRD number. Each entry carries the owner name, owner type, title or status, ownership band, and the control and public-reporting flags. The endpoint returns the latest available version of the filing, refreshed once a day between 5:00 AM and 7:30 AM EST.
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.
Path parameters
Supplied as part of the URL.
crd: required string, 2 to 20 digits
CRD number of the adviser firm, assigned by FINRA and IARD. Stifel Nicolaus is 793, Goldman Sachs is 361.
Example 793
A JSON object. Nested attributes are collapsed; expand one to see its fields.
[ ]: array of object
The response body is a JSON array with no wrapper object. Each item is one direct owner or executive officer disclosed in Schedule A of the latest Form ADV filed by the firm. The array is empty when the firm has no Schedule A on file.
name: string
Full legal name of the direct owner or executive officer. Schedule A covers each chief executive, financial, operations, legal and compliance officer, each director and anyone with a similar status or function. It also covers every shareholder, general or limited partner, trust and trustee, and LLC member that owns, or has contributed, 5 per cent or more of the firm.
Example ZEMLYAK, JAMES MARK
ownerType: string
Type of owner. DE is a domestic entity, FE is an entity incorporated or domiciled in a foreign country, and I is an individual.
Example I
titleStatus: string
Title or status of the owner. Covers board and management titles, and status as partner, trustee, sole proprietor, elected manager, shareholder or member. For a shareholder or member it also carries the class of securities owned, when the firm has issued more than one class.
Example EXECUTIVE VICE PRESIDENT & DIRECTOR
dateTitleStatusAcquired: string
Date the title or status was acquired, formatted YYYY-MM.
Example 2002-08
ownershipCode: string
Band of ownership held. NA is less than 5 per cent, A is 5 to under 10 per cent, B is 10 to under 25 per cent, C is 25 to under 50 per cent, D is 50 to under 75 per cent, and E is 75 per cent or more.
Example NA
isControlPerson: boolean
True when the owner has control as the glossary of terms to Form ADV defines it. Under that definition most executive officers, and all 25 per cent owners, general partners, elected managers and trustees, are control persons.
isPublicReporting: boolean
True when the owner is a public reporting company under Section 12 or 15(d) of the Exchange Act.
crd: string
CRD number of the owner. Empty when the owner has no CRD number, in which case Form ADV asks for a social security number and date of birth, an IRS tax number or an employer ID number instead.
Example 1586132
Status codes
200 | Success. The body is an array of direct owners. A CRD with no Schedule A on file returns an empty array, not an error. |
403 | The API key is missing, or it is not valid. |
404 | The CRD in the path is not valid. It has to be 2 to 20 digits, with no other characters. |
429 | Too many requests. Slow the request rate and retry. |
500 | Server error. Retry, and report it if it persists. |