# Adviser Representatives - Form ADV API Reference | SEC API

> Complete API reference for the Form ADV Individuals API, covering registered investment adviser representatives. Every request parameter, every searchable field and every response attribute, with types, constraints and a live example response.

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

Investment advisers

POST`https://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 →](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.

## 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.

indvlPK: number

CRD number of the individual.

actvAGReg: optional string

Whether the individual holds an active agent registration. Y means yes, N means no.

actvIAReg: optional string

Whether the individual holds an active investment adviser registration. Y means yes, N means no.

lastNm: string

Last name of the individual.

firstNm: string

First name of the individual.

midNm: optional string

Middle name of the individual.

sufNm: optional string

Suffix of the name, for example Jr.

link: string

URL of the profile of the individual in IAPD, for example https://adviserinfo.sec.gov/individual/summary/7609153.

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.

OthrNm: array of object

One item per other name.

lastNm: optional string

Last name.

firstNm: optional string

First name.

midNm: optional string

Middle name.

sufNm: optional string

Suffix of the name.

CrntEmps: object

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

CrntEmp: array of object

One item per current employer.

CrntRgstns: optional object

Registrations the individual holds through this employer.

CrntRgstn: array of object

One item per registration.

regAuth: string

State code of the regulatory authority, for example FL for Florida.

regCat: string

Registration category, meaning the position of the representative with the regulator. RA stands for investment adviser representative.

st: string

Current registration status, for example APPROVED, PENDING, TERMED, REVOKED, SUSPENSION or DENIED. About 30 codes are in use.

stDt: string

Date the status change was posted to the system, YYYY-MM-DD.

BrnchOfLocs: optional object

Branch office locations of the individual at this employer.

BrnchOfLoc: array of object

One item per branch office location.

str1: optional string

First line of the street address.

str2: optional string

Second line of the street address, such as a suite number.

city: optional string

City.

state: optional string

State code, for example FL.

cntry: optional string

Country, for example United States.

postlCd: optional string

Postal code.

orgNm: string

Business name of the firm, taken from the IARD composite record.

orgPK: number

CRD number of the firm.

str1: optional string

First line of the street address.

str2: optional string

Second line of the street address, such as a suite number.

city: optional string

City.

state: optional string

State code, for example FL.

cntry: optional string

Country, for example United States.

postlCd: optional string

Postal code.

Exms: object

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

Exm: array of object

One item per passed exam.

exmCd: string

Exam code. S63 is the Uniform Securities Agent State Law Examination, S64 the NASAA Real Estate Securities Exam, S65 the Uniform Investment Adviser Law Examination and S66 the Uniform Combined State Law Examination.

exmNm: string

Name of the exam.

exmDt: string

Date the exam was taken, YYYY-MM-DD.

Dsgntns: object

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

Dsgntn: array of object

One item per designation.

dsgntnNm: string

Code of the designation.

PrevRgstns: object

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

PrevRgstn: array of object

One item per previous registration.

BrnchOfLocs: optional object

Branch office locations tied to the previous registration.

BrnchOfLoc: array of object

One item per branch office location.

str1: optional string

First line of the street address.

str2: optional string

Second line of the street address, such as a suite number.

city: optional string

City.

state: optional string

State code, for example FL.

cntry: optional string

Country, for example United States.

postlCd: optional string

Postal code.

orgNm: string

Business name of the firm, taken from the IARD composite record.

orgPK: number

CRD number of the firm.

regBeginDt: string

Start date of the registration, YYYY-MM-DD.

regEndDt: string

End date of the registration, YYYY-MM-DD.

EmpHss: object

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

EmpHs: array of object

One item per employment.

fromDt: string

Start of the employment, MM/YYYY.

toDt: optional string

End of the employment, MM/YYYY. Absent while the employment is ongoing.

orgNm: string

Name of the organisation.

city: optional string

City of the employment.

state: optional string

State of the employment.

OthrBuss: object

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

OthrBus: object

The reported other business activity.

desc: string

Free text describing the other business activity, as filed.

DRPs: object

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

DRP: array of object

One item per disclosure record. Each flag is Y for yes and N for no.

hasRegAction: string

Whether the individual has a regulatory action DRP.

hasCriminal: string

Whether the individual has a criminal DRP.

hasBankrupt: string

Whether the individual has a bankruptcy DRP.

hasCivilJudc: string

Whether the individual has a civil judicial DRP.

hasBond: string

Whether the individual has a bond DRP.

hasJudgment: string

Whether the individual has a judgment DRP.

hasInvstgn: string

Whether the individual has an investigation DRP.

hasCustComp: string

Whether the individual has a customer complaint DRP.

hasTermination: string

Whether the individual has a termination DRP.

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

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

```python
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"])
```

```javascript
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" } }],
});
```

```bash
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

```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
    }
  ]
}
```