Investment advisers

Financial Industry Affiliations - Form ADV Schedule D 7.A

GEThttps://api.sec-api.io/form-adv/schedule-d-7-a/{crd}

Look up the financial industry affiliations an investment adviser discloses in section 7.A of Schedule D of its Form ADV, by the firm CRD number. Each related person carries its name, SEC file, CRD and CIK numbers, the categories it falls under, such as broker-dealer, bank or insurance company, and the control, custodian, exemption and foreign registration answers. 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 →

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. Morgan Stanley Smith Barney is 149777, Goldman Sachs is 361.

Example 149777

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 related person disclosed in section 7.A of Schedule D of the latest Form ADV filed by the firm. The array is empty when the firm has no section 7.A on file. Item numbers in the keys follow the item numbers printed on Schedule D.

1-nameOfRelatedPerson: string

Legal name of the related person.

Example MORGAN STANLEY & CO. LLC

2-businessName: string

Primary business name of the related person. It repeats the legal name when the related person trades under no other name.

Example MORGAN STANLEY BANK, NA

3-secFileNumber: string

SEC file number of the related person, with the dash removed. The value starts with 801, 802, 866 or 8. Empty when the related person has no SEC file number.

Example 815869

4a-crdNumber: string

CRD number of the related person. Empty when the related person has no CRD number.

Example 8209

4b-cikNumbers: array of string

CIK numbers of the related person. Empty array when the related person has no CIK number.

Example ["1359291"]

5-typesOfRelatedPerson: array of string

Categories the firm ticked for the related person in item 5. One or more of: a-brokerBealer, b-otherAdviser, c-municipalAdvisor, d-swapDealer, e-swapParticipant, f-commodityPoolOperator, g-futuresCommissionMerchant, h-bankingThriftingInstitution, i-trustCompany, j-accountant, k-lawyer, l-insuranceCompany, m-pensionConsultant, n-realEstateBroker, o-sponsorExcludingPooledInvestmentVehicles, p-sponsorOfPooledInvestmentVehicles.

Example ["a-brokerBealer", "g-futuresCommissionMerchant"]

6-controlsRelatedPerson: boolean

True when the firm controls the related person, or the related person controls the firm.

7-underCommonControl: boolean

True when the firm and the related person share a controller.

8a-relatedPersonActsAsCustodian: boolean

True when the related person acts as a qualified custodian for the clients of the firm, in connection with advisory services the firm provides.

8b-notOperationallyIndependent: boolean

True when the firm is registered with, or registering with, the SEC, answered yes to item 8.a, and has overcome the presumption that it is not operationally independent of the related person under rule 206(4)-2(d)(5). The firm then needs no surprise examination of the client funds and securities held at the related person.

8c-locationOfRelatedPerson: object

Office location of the related person. All six keys are present, and each one is empty when the firm disclosed no address.

9a-exemptFromRegistration: boolean

True when the related person is an investment adviser that is exempt from registration.

9b-exemption: string

Exemption the related person relies on, as the firm wrote it. Empty when item 9.a is false.

Example ABA 2005 NO ACTION LETTER

10a-registeredWithForeignRegulator: boolean

True when the related person is registered with a foreign financial regulatory authority.

10b-foreignRegulator: array of string

Foreign financial regulatory authorities the related person is registered with, each one written as country followed by authority. Empty array when item 10.a is false.

Example ["India - Securities and Exchange Board of India"]

11-shareSupervisedPersons: boolean

True when the firm and the related person share supervised persons.

12-shareSameLocation: boolean

True when the firm and the related person share the same physical location.

Status codes

`200`	Success. The body is an array of related persons. A CRD with no section 7.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-d-7-a/{crd}

https://api.sec-api.io/form-adv/schedule-d-7-a/149777
https://api.sec-api.io/form-adv/schedule-d-7-a/149777?token=YOUR_API_KEY

from sec_api import FormAdvApi

formAdvApi = FormAdvApi("YOUR_API_KEY")

affiliations = formAdvApi.get_financial_industry_affiliations(crd="149777")

import { formAdvApi } from "sec-api";

formAdvApi.setApiKey("YOUR_API_KEY");

const affiliations = await formAdvApi.getFinancialIndustryAffiliations("149777");

curl -X GET "https://api.sec-api.io/form-adv/schedule-d-7-a/149777" \
  -H "Authorization: YOUR_API_KEY"

Response example

200 OK · application/json

[
  {
    "1-nameOfRelatedPerson": "MORGAN STANLEY & CO. LLC",
    "2-businessName": "MORGAN STANLEY & CO. LLC",
    "3-secFileNumber": "815869",
    "4a-crdNumber": "8209",
    "4b-cikNumbers": [
      "1359291"
    ],
    "5-typesOfRelatedPerson": [
      "a-brokerBealer",
      "g-futuresCommissionMerchant"
    ],
    "6-controlsRelatedPerson": false,
    "7-underCommonControl": true,
    "8a-relatedPersonActsAsCustodian": false,
    "8b-notOperationallyIndependent": false,
    "8c-locationOfRelatedPerson": {
      "street1": "",
      "street2": "",
      "city": "",
      "state": "",
      "zipCode": "",
      "country": ""
    },
    "9a-exemptFromRegistration": false,
    "9b-exemption": "",
    "10a-registeredWithForeignRegulator": true,
    "10b-foreignRegulator": [
      "Other - CANADA - MONTREAL EXCHANGE AND BOURSE DE MONTREAL",
      "Other - MEXICO - MEXICAN DERIVATIVES EXCHANGE"
    ],
    "11-shareSupervisedPersons": false,
    "12-shareSameLocation": true
  },
  {
    "1-nameOfRelatedPerson": "MORGAN STANLEY BANK, N.A.",
    "2-businessName": "MORGAN STANLEY BANK, NA",
    "3-secFileNumber": "",
    "4a-crdNumber": "",
    "4b-cikNumbers": [
      "1871769"
    ],
    "5-typesOfRelatedPerson": [
      "h-bankingThriftingInstitution"
    ],
    "6-controlsRelatedPerson": false,
    "7-underCommonControl": true,
    "8a-relatedPersonActsAsCustodian": true,
    "8b-notOperationallyIndependent": false,
    "8c-locationOfRelatedPerson": {
      "street1": "201 S. MAIN STREET",
      "street2": "5TH FLOOR",
      "city": "SALT CITY CITY",
      "state": "Utah",
      "zipCode": "84111",
      "country": "United States"
    },
    "9a-exemptFromRegistration": false,
    "9b-exemption": "",
    "10a-registeredWithForeignRegulator": false,
    "10b-foreignRegulator": [],
    "11-shareSupervisedPersons": true,
    "12-shareSameLocation": false
  },
  {
    "1-nameOfRelatedPerson": "MORGAN STANLEY INVESTMENT MANAGEMENT INC.",
    "2-businessName": "MORGAN STANLEY INVESTMENT MANAGEMENT INC.",
    "3-secFileNumber": "80115757",
    "4a-crdNumber": "110353",
    "4b-cikNumbers": [
      "1230193"
    ],
    "5-typesOfRelatedPerson": [
      "b-otherAdviser",
      "f-commodityPoolOperator",
      "p-sponsorOfPooledInvestmentVehicles"
    ],
    "6-controlsRelatedPerson": false,
    "7-underCommonControl": true,
    "8a-relatedPersonActsAsCustodian": false,
    "8b-notOperationallyIndependent": false,
    "8c-locationOfRelatedPerson": {
      "street1": "",
      "street2": "",
      "city": "",
      "state": "",
      "zipCode": "",
      "country": ""
    },
    "9a-exemptFromRegistration": false,
    "9b-exemption": "",
    "10a-registeredWithForeignRegulator": true,
    "10b-foreignRegulator": [
      "Bahamas - Securities Commission of the Bahamas",
      "China, People's Republic of - China Securities Regulatory Commission ",
      "India - Securities and Exchange Board of India",
      "South Korea - Financial Supervisory Commission / Financial Supervisory Service"
    ],
    "11-shareSupervisedPersons": false,
    "12-shareSameLocation": false
  },
  {
    "1-nameOfRelatedPerson": "AIP CRYSTAL-SMA I SLP LP",
    "2-businessName": "AIP CRYSTAL-SMA I SLP LP",
    "3-secFileNumber": "",
    "4a-crdNumber": "",
    "4b-cikNumbers": [],
    "5-typesOfRelatedPerson": [
      "b-otherAdviser"
    ],
    "6-controlsRelatedPerson": false,
    "7-underCommonControl": true,
    "8a-relatedPersonActsAsCustodian": false,
    "8b-notOperationallyIndependent": false,
    "8c-locationOfRelatedPerson": {
      "street1": "",
      "street2": "",
      "city": "",
      "state": "",
      "zipCode": "",
      "country": ""
    },
    "9a-exemptFromRegistration": true,
    "9b-exemption": "ABA 2005 NO ACTION LETTER",
    "10a-registeredWithForeignRegulator": false,
    "10b-foreignRegulator": [],
    "11-shareSupervisedPersons": false,
    "12-shareSameLocation": true
  }
]