Investment advisers
Other Business Names - Form ADV Schedule D 1.B
https://api.sec-api.io/form-adv/schedule-d-1-b/{crd}Look up the other business names an investment adviser discloses in Section 1.B of Schedule D of its Form ADV, by the firm CRD number. Each entry carries one trade name and the jurisdictions that name is used in, which makes it possible to match a counterparty trade name back to the adviser that owns it. The endpoint returns the latest available version of the filing, refreshed once a day between 5:00 AM and 7:30 AM EST.
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, LPL Financial is 6413.
Example 149777
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 other business name disclosed in Section 1.B of Schedule D of the latest Form ADV filed by the firm. The array is empty when the firm reports no other business name.
name: string
Other business name the adviser conducts advisory business under, as disclosed in Section 1.B of Schedule D. Form ADV asks for every name used in addition to the primary business name reported in Item 1.A.
Example MORGAN STANLEY WEALTH MANAGEMENT
jurisdictions: array of string
Jurisdictions the name is used in. Entries are two-letter codes for the states, the District of Columbia and the US territories, such as AL, AK, DC and PR. The guide notes that an entry can carry an Other: prefix when the jurisdiction falls outside that set.
Example AL, AK, AZ, AR, CA
Status codes
200 | Success. The body is an array of other business names. A CRD with no Section 1.B entries 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. |