Investment advisers
Separately Managed Accounts - Form ADV Schedule D 5.K
https://api.sec-api.io/form-adv/schedule-d-5-k/{crd}Look up section 5.K of Schedule D of Form ADV for an investment adviser, by the firm CRD number. The response holds the asset-type breakdown of the separately managed accounts of the firm, the borrowings and derivative exposure of those accounts, and the custodians that hold the assets. 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, Goldman Sachs is 361.
Example 149777
A JSON object. Nested attributes are collapsed; expand one to see its fields.
1-separatelyManagedAccounts: object
Section 5.K(1). The share of separately managed account regulatory assets held in each of twelve asset types. Item (a) and item (b) split the disclosure by the size of the firm, and a firm fills in only the item that applies to it. The other item stays present but empty.
a: object
Item (a), filed by firms with at least 10 billion dollars in regulatory assets under management attributable to separately managed accounts, after subtracting the amounts reported in item 5.D.3(d) to (f). It carries a mid-year and an end-of-year share per asset type.
b: object
Item (b), filed by firms with less than 10 billion dollars in those assets. It carries an end-of-year share per asset type only.
2-borrowingsAndDerivatives: object
Section 5.K(2). Borrowings and derivative exposure of the separately managed accounts, bucketed by the gross notional exposure of the accounts. As in section 5.K(1), a firm fills in only the item that matches its size.
a-i-midYear: object
Item (a)(i), the mid-year figures of firms with at least 10 billion dollars in regulatory assets under management attributable to separately managed accounts.
a-i-optional: string
Free text in which the firm explains how it uses borrowings and derivatives in the accounts it advises. Empty when the firm wrote nothing.
a-ii-endOfYear: object
Item (a)(ii), the end-of-year figures of the same firms, in the same shape as a-i-midYear.
a-ii-optional: string
Free text belonging to item (a)(ii). Firms often repeat the text they gave in a-i-optional.
b: object
Item (b), filed by firms with at least 500 million dollars but less than 10 billion dollars in regulatory assets under management attributable to separately managed accounts.
b-optional: optional string
Free text belonging to item (b). Absent from the response when the firm filed nothing under item (b).
3-custodiansForSeparatelyManagedAccounts: array of object
Section 5.K(3). Every custodian that holds 10 per cent or more of the separately managed account regulatory assets of the firm. The array is empty when the firm reported no custodian.
a-legalName: string
Legal name of the custodian.
Example MORGAN STANLEY SMITH BARNEY LLC
b-businessName: string
Primary business name of the custodian.
Example MORGAN STANLEY
c-locations: array of object
Offices of the custodian responsible for custody of the assets.
d-isRelatedPerson: boolean
True when the custodian is a related person of the adviser, as the glossary of terms to Form ADV defines it.
e-secRegistrationNumber: string
SEC registration number of the custodian when it is a broker-dealer. Empty otherwise.
Example 8 - 68191
f-lei: string
Legal entity identifier of the custodian, reported when the custodian is not a broker-dealer, or is one without an SEC registration number. Empty otherwise.
g-amountHeldAtCustodian: string
Regulatory assets under management attributable to separately managed accounts held at this custodian, as a formatted dollar string.
Example $ 1,733,996,722,410
Status codes
200 | Success. The body holds the three sections of Schedule D 5.K. A firm that filed no section 5.K returns an object with empty sections, 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. |