# Indirect Owners - Form ADV Schedule B API Reference | SEC API

> Complete API reference for the Form ADV Schedule B Indirect 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-indirect-owners

Investment advisers

GET`https://api.sec-api.io/form-adv/schedule-b-indirect-owners/{crd}`

Look up the indirect owners an investment adviser discloses in Schedule B of its Form ADV, by the firm CRD number. Each entry names the upstream owner, the entity it owns, the status, the ownership band and the control and public-reporting flags, so the chain from the adviser up to its ultimate parent can be rebuilt. 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. Corient Private Wealth is 326262, Morgan Stanley Smith Barney is 149777.

Example `326262`

## 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 indirect owner disclosed in Schedule B of the latest Form ADV filed by the firm. Rows are not sorted into a chain, so follow entityOwned to walk from the adviser up to the ultimate parent. The array is empty when the firm has no Schedule B on file.

name: string

Full legal name of the indirect owner. Schedule B covers the owners behind each entity listed in Schedule A. For a corporate owner it lists every shareholder that beneficially owns, votes, or directs the sale of 25 per cent or more of a class of voting security. For a partnership it lists all general partners, and the limited and special partners that have contributed, or can receive on dissolution, 25 per cent or more of the capital. For a trust it lists the trust and each trustee. For a limited liability company it lists the members holding 25 per cent or more of the capital, and all elected managers.

Example `CORIENT PARTNERS LLC`

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 `DE`

entityOwned: string

Entity in which the interest is owned. This is the link that makes the chain walkable: it names the company one step down, which is either the adviser itself or another entity that appears as a name in this same array.

Example `CORIENT PRIVATE WEALTH LLC`

status: string

Status of the owner as partner, trustee, elected manager, shareholder or member. For a shareholder or member it also carries the class of securities owned, when the entity has issued more than one class.

Example `OWNER`

dateStatusAcquired: string

Date the status was acquired, formatted YYYY-MM.

Example `2022-02`

ownershipCode: string

Band of ownership held. C is 25 to under 50 per cent, D is 50 to under 75 per cent, E is 75 per cent or more, and F is other, meaning a general partner, trustee or elected manager. Schedule B has no band below 25 per cent, because owners under that threshold are not reported here.

Example `E`

isControlPerson: boolean

True when the owner has control as the glossary of terms to Form ADV defines it. Under that definition 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. Most indirect owners are holding companies without a CRD, so this field is empty more often than not.

Example `4776066`

## Status codes

|  |  |
| --- | --- |
| `200` | Success. The body is an array of indirect owners. A CRD with no Schedule B on file returns an empty array, not an error. |
| `400` | The request could not be parsed. |
| `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-b-indirect-owners/{crd}

```bash
https://api.sec-api.io/form-adv/schedule-b-indirect-owners/326262
https://api.sec-api.io/form-adv/schedule-b-indirect-owners/326262?token=YOUR_API_KEY
```

```python
from sec_api import FormAdvApi

formAdvApi = FormAdvApi("YOUR_API_KEY")

indirect_owners = formAdvApi.get_indirect_owners(crd="326262")
```

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

formAdvApi.setApiKey("YOUR_API_KEY");

const indirectOwners = await formAdvApi.getIndirectOwners("326262");
```

```bash
curl -X GET "https://api.sec-api.io/form-adv/schedule-b-indirect-owners/326262" \
  -H "Authorization: YOUR_API_KEY"
```

## Response example

200 OK · application/json

```json
[
  {
    "name": "CORIENT PARTNERS LLC",
    "ownerType": "DE",
    "entityOwned": "CORIENT PRIVATE WEALTH LLC",
    "status": "OWNER",
    "dateStatusAcquired": "2022-02",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "CORIENT HOLDINGS INC",
    "ownerType": "DE",
    "entityOwned": "CORIENT MANAGEMENT LLC",
    "status": "OWNER",
    "dateStatusAcquired": "2023-07",
    "ownershipCode": "F",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "CI FINANCIAL CORP.",
    "ownerType": "FE",
    "entityOwned": "CORIENT HOLDINGS INC",
    "status": "OWNER",
    "dateStatusAcquired": "2019-11",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "CORIENT MANAGEMENT LLC",
    "ownerType": "FE",
    "entityOwned": "CORIENT PARTNERS LLC",
    "status": "OWNER",
    "dateStatusAcquired": "2023-12",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "MC CIF WEALTH MANAGEMENT (UK) LTD",
    "ownerType": "FE",
    "entityOwned": "CI FINANCIAL CORP.",
    "status": "OWNER",
    "dateStatusAcquired": "2025-08",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "MC ACCELERATE HOLDINGS (UK) LP",
    "ownerType": "FE",
    "entityOwned": "MC CIF WEALTH MANAGEMENT (UK) LTD",
    "status": "OWNER",
    "dateStatusAcquired": "2025-08",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "MUBADALA INVESTMENT COMPANY PJSC (UAE)",
    "ownerType": "FE",
    "entityOwned": "MAMOURA DIVERSIFIED GLOBAL HOLDING PJSC (UAE)",
    "status": "OWNER",
    "dateStatusAcquired": "2025-08",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  },
  {
    "name": "GOVERNMENT OF ABU DHABI",
    "ownerType": "FE",
    "entityOwned": "MUBADALA INVESTMENT COMPANY PJSC (UAE)",
    "status": "OWNER",
    "dateStatusAcquired": "2025-08",
    "ownershipCode": "E",
    "isControlPerson": true,
    "isPublicReporting": false,
    "crd": ""
  }
]
```