# Direct Owners - Form ADV Schedule A API Reference | SEC API

> Complete API reference for the Form ADV Schedule A Direct Owners API. Every path parameter and every response attribute, with types, constraints and a live example response.

Source: https://sec-api.io/api-reference/form-adv-direct-owners

Investment advisers

GET`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.

[Read the guide for this API →](https://sec-api.io/docs/investment-adviser-and-adv-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.

## 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`

## Response

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. |

## Request example

GET https://api.sec-api.io/form-adv/schedule-a-direct-owners/{crd}

```bash
https://api.sec-api.io/form-adv/schedule-a-direct-owners/793
https://api.sec-api.io/form-adv/schedule-a-direct-owners/793?token=YOUR_API_KEY
```

```python
from sec_api import FormAdvApi

formAdvApi = FormAdvApi("YOUR_API_KEY")

direct_owners = formAdvApi.get_direct_owners(crd="793")
```

```javascript
import { formAdvApi } from "sec-api";

formAdvApi.setApiKey("YOUR_API_KEY");

const directOwners = await formAdvApi.getDirectOwners("793");
```

```bash
curl -X GET "https://api.sec-api.io/form-adv/schedule-a-direct-owners/793" \
  -H "Authorization: YOUR_API_KEY"
```

## Response example

200 OK · application/json

```json
[
  {
    "name": "ZEMLYAK, JAMES MARK",
    "ownerType": "I",
    "titleStatus": "EXECUTIVE VICE PRESIDENT & DIRECTOR",
    "dateTitleStatusAcquired": "2002-08",
    "ownershipCode": "NA",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": "1586132"
  },
  {
    "name": "STIFEL FINANCIAL CORP.",
    "ownerType": "DE",
    "titleStatus": "SHAREHOLDER",
    "dateTitleStatusAcquired": "1982-02",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": true,
    "crd": ""
  },
  {
    "name": "NOLL, DOUGLAS WAYNE",
    "ownerType": "I",
    "titleStatus": "PRINCIPAL OPERATIONS OFFICER",
    "dateTitleStatusAcquired": "1995-06",
    "ownershipCode": "NA",
    "isControlPerson": false,
    "isPublicReporting": false,
    "crd": "1614129"
  },
  {
    "name": "KRUSZEWSKI, RONALD JAMES",
    "ownerType": "I",
    "titleStatus": "PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD",
    "dateTitleStatusAcquired": "2002-08",
    "ownershipCode": "NA",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": "1434827"
  }
]
```