Investment advisers

Adviser Representatives - Form ADV

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

Search more than 380,000 registered individual investment adviser representatives by name, CRD number, employer, registration authority and passed exams. Each record holds the identity of the person, their current and previous registrations, employment history, designations and disclosure flags, and 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 CrntEmps.CrntEmp.orgPK:149777

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 records, so narrow the query when more match.

Default "0"

size: string, Maximum 50

Number of individuals 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.indvlPK": { "order": "desc" } }].

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

order: string

Either asc or desc.

Searchable fields

Every field below can be used inside query. 60 fields are searchable, and they match the structure of the objects returned in the response.

Field	Description
`Info.firstNm`	First name of the individual
`Info.lastNm`	Last name of the individual
`Info.indvlPK`	Individual primary key (IAR ID)
`Info.actvAGReg`	Active state agent registration (Y/N)
`Info.actvIAReg`	Active investment-adviser registration (Y/N)
`CrntEmps.CrntEmp.orgNm`	Current employer (firm) name
`CrntEmps.CrntEmp.orgPK`	Current employer CRD / firm primary key
`CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.regAuth`	Registration authority (state code or SEC)
`CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.regCat`	Registration category (RA, IA, BD, …)
`CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.st`	Registration status (APPROVED, PENDING, …)
`CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.stDt`	Registration status date
`Exms.Exm.exmCd`	Exam code (e.g. S65, S66, S7)
`Exms.Exm.exmNm`	Exam name
`Exms.Exm.exmDt`	Exam date passed
`Info.midNm`	Middle name of the individual.
`Info.sufNm`	Suffix of the name, for example Jr.
`Info.link`	URL of the profile of the individual in IAPD, for example https://adviserinfo.sec.gov/individual/summary/7609153.
`OthrNms.OthrNm.lastNm`	Last name.
`OthrNms.OthrNm.firstNm`	First name.
`OthrNms.OthrNm.midNm`	Middle name.
`OthrNms.OthrNm.sufNm`	Suffix of the name.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.str1`	First line of the street address.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.str2`	Second line of the street address, such as a suite number.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.city`	City.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.state`	State code, for example FL.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.cntry`	Country, for example United States.
`CrntEmps.CrntEmp.BrnchOfLocs.BrnchOfLoc.postlCd`	Postal code.
`CrntEmps.CrntEmp.str1`	First line of the street address.
`CrntEmps.CrntEmp.str2`	Second line of the street address, such as a suite number.
`CrntEmps.CrntEmp.city`	City.
`CrntEmps.CrntEmp.state`	State code, for example FL.
`CrntEmps.CrntEmp.cntry`	Country, for example United States.
`CrntEmps.CrntEmp.postlCd`	Postal code.
`Dsgntns.Dsgntn.dsgntnNm`	Code of the designation.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.str1`	First line of the street address.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.str2`	Second line of the street address, such as a suite number.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.city`	City.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.state`	State code, for example FL.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.cntry`	Country, for example United States.
`PrevRgstns.PrevRgstn.BrnchOfLocs.BrnchOfLoc.postlCd`	Postal code.
`PrevRgstns.PrevRgstn.orgNm`	Business name of the firm, taken from the IARD composite record.
`PrevRgstns.PrevRgstn.orgPK`	CRD number of the firm.
`PrevRgstns.PrevRgstn.regBeginDt`	Start date of the registration, YYYY-MM-DD.
`PrevRgstns.PrevRgstn.regEndDt`	End date of the registration, YYYY-MM-DD.
`EmpHss.EmpHs.fromDt`	Start of the employment, MM/YYYY.
`EmpHss.EmpHs.toDt`	End of the employment, MM/YYYY. Absent while the employment is ongoing.
`EmpHss.EmpHs.orgNm`	Name of the organisation.
`EmpHss.EmpHs.city`	City of the employment.
`EmpHss.EmpHs.state`	State of the employment.
`OthrBuss.OthrBus.desc`	Free text describing the other business activity, as filed.
`DRPs.DRP.hasRegAction`	Whether the individual has a regulatory action DRP.
`DRPs.DRP.hasCriminal`	Whether the individual has a criminal DRP.
`DRPs.DRP.hasBankrupt`	Whether the individual has a bankruptcy DRP.
`DRPs.DRP.hasCivilJudc`	Whether the individual has a civil judicial DRP.
`DRPs.DRP.hasBond`	Whether the individual has a bond DRP.
`DRPs.DRP.hasJudgment`	Whether the individual has a judgment DRP.
`DRPs.DRP.hasInvstgn`	Whether the individual has an investigation DRP.
`DRPs.DRP.hasCustComp`	Whether the individual has a customer complaint DRP.
`DRPs.DRP.hasTermination`	Whether the individual has a termination DRP.
`id`	Record id of the individual, the same value as Info.indvlPK. Use it to sort the results.

Response

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

total: object

How many individuals matched the query.

value: integer

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

relation: string

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

filings: array of object

The matching individual investment adviser representatives, at most size per response. One item holds the complete record of one person.

Info: object

Basic information describing the individual.

OthrNms: optional object

Other names the individual has used since the age of 18, such as nicknames, aliases and names used before or after marriage. Empty when none are reported.

CrntEmps: object

Active employment of the individual. Empty when none is reported.

Exms: object

State exams the individual has passed, for example S63, S64, S65 and S66. Empty when none is reported.

Dsgntns: object

Professional designations of the individual. Empty when none is reported.

PrevRgstns: object

Registrations the individual held in the past. Empty when none is reported.

EmpHss: object

Employment history of the individual. Empty when none is reported.

OthrBuss: object

Other businesses of the individual. Empty when none is reported.

DRPs: object

Reportable and disclosable disclosure reporting pages (DRPs) of the individual. Empty when none is reported.

id: number

Record id of the individual, the same value as Info.indvlPK. Use it to sort the results.

Status codes

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

Request example

POST https://api.sec-api.io/form-adv/individual

{
  "query": "CrntEmps.CrntEmp.orgPK:149777",
  "from": "0",
  "size": "50",
  "sort": [{ "id": { "order": "desc" } }]
}

from sec_api import FormAdvApi

formAdvApi = FormAdvApi("YOUR_API_KEY")

response = formAdvApi.get_individuals({
    "query": "CrntEmps.CrntEmp.orgPK:149777",
    "from": "0",
    "size": "50",
    "sort": [{"id": {"order": "desc"}}],
})

print(response["filings"])

import { formAdvApi } from "sec-api";

formAdvApi.setApiKey("YOUR_API_KEY");

const response = await formAdvApi.getIndividuals({
  query: "CrntEmps.CrntEmp.orgPK:149777",
  from: "0",
  size: "50",
  sort: [{ id: { order: "desc" } }],
});

curl -X POST https://api.sec-api.io/form-adv/individual \
  -H "Authorization: YOUR_API_KEY" \
  -H "Content-Type: application/json" \
  -d '{
    "query": "CrntEmps.CrntEmp.orgPK:149777",
    "from": "0",
    "size": "50",
    "sort": [{ "id": { "order": "desc" } }]
  }'

Response example

200 OK · application/json

{
  "total": { "value": 10000, "relation": "gte" },
  "filings": [
    {
      "Info": {
        "lastNm": "Nebot",
        "firstNm": "Roman",
        "indvlPK": 8213636,
        "actvAGReg": "Y",
        "link": "https://adviserinfo.sec.gov/individual/summary/8213636"
      },
      "OthrNms": {
        "OthrNm": [
          { "lastNm": "Nebot creus", "firstNm": "Roman", "midNm": "D" }
        ]
      },
      "CrntEmps": {
        "CrntEmp": [
          {
            "CrntRgstns": {
              "CrntRgstn": [
                {
                  "regAuth": "FL",
                  "regCat": "RA",
                  "st": "APPROVED",
                  "stDt": "2026-02-02"
                },
                {
                  "regAuth": "TX",
                  "regCat": "RA",
                  "st": "APPROVED",
                  "stDt": "2026-02-06"
                }
              ]
            },
            "BrnchOfLocs": {
              "BrnchOfLoc": [
                {
                  "str1": "200 South Biscayne Boulevard",
                  "str2": "Suite 1100",
                  "city": "Miami",
                  "state": "FL",
                  "cntry": "United States",
                  "postlCd": "33131"
                }
              ]
            },
            "orgNm": "MORGAN STANLEY",
            "orgPK": 149777,
            "str1": "2000 WESTCHESTER AVENUE",
            "city": "PURCHASE",
            "state": "NY",
            "cntry": "United States",
            "postlCd": "10577-2530"
          }
        ]
      },
      "Exms": {
        "Exm": [
          {
            "exmCd": "S66",
            "exmNm": "Uniform Combined State Law Examination",
            "exmDt": "2025-12-08"
          }
        ]
      },
      "Dsgntns": {},
      "PrevRgstns": {},
      "EmpHss": {
        "EmpHs": [
          {
            "fromDt": "02/2019",
            "toDt": "01/2026",
            "orgNm": "Santander Internacional S.A.",
            "city": "Miami",
            "state": "FL"
          },
          {
            "fromDt": "01/2026",
            "orgNm": "Morgan Stanley Smith Barney LLC",
            "city": "Miami",
            "state": "FL"
          }
        ]
      },
      "OthrBuss": {
        "OthrBus": {
          "desc": "*680514- own house; Investment related: Yes; Spain; Rental Property; Sole Proprietor/Owner; 09/2014; During business hours: 0; After business hours: 0 ..."
        }
      },
      "DRPs": {},
      "id": 8213636
    }
  ]
}