# Adviser Firms - Form ADV API Reference | SEC API > Complete API reference for the Form ADV Firm Search API, covering SEC and state registered investment adviser firms. 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 Investment advisers POST`https://api.sec-api.io/form-adv/firm` Search the most recent Form ADV filing of every investment adviser firm registered with the SEC or a state securities regulator, including Exempt Reporting Advisers. Every field of Part 1A and Part 1B is searchable, from assets under management and client types to affiliations and disciplinary disclosures, and the data 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 `Info.FirmCrdNb:361` 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 filings, so narrow the query when more match, for example with a Filing.Dt range. Default `"0"` size: string, Maximum 50 Number of Form ADV filings 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.FirmCrdNb": { "order": "desc" } }]. Default `[{ "Info.FirmCrdNb": { "order": "desc" } }]` order: string Either asc or desc. ## Searchable fields Every field below can be used inside query. 336 fields are searchable, and they match the structure of the objects returned in the response. | Field | Description | | --- | --- | | `Info.FirmCrdNb` | CRD number assigned by FINRA / IARD | | `Info.LegalNm` | Firm legal name | | `Info.BusNm` | Primary business name | | `Info.SECNb` | SEC file number — e.g. "801-16048" | | `Info.SECRgnCD` | SEC regional office code (NYRO, BRO, …) | | `Info.UmbrRgstn` | Umbrella registration flag (Y / N) | | `MainAddr.City` | Principal office city | | `MainAddr.State` | Principal office state (US 2-letter code) | | `MainAddr.Cntry` | Principal office country | | `MainAddr.PostlCd` | Principal office postal code | | `Filing.Dt` | Filing date of the Form ADV | | `Filing.FormVrsn` | Form ADV version (e.g. "10/2021") | | `Rgstn.St` | Registration status (APPROVED, PENDING, …) | | `Rgstn.Dt` | Registration effective date | | `Rgstn.FirmType` | Registration type — Registered, Notice-Filed, … | | `FormInfo.Part1A.Item2A.Q2A1` | Large adviser ($100M+ AUM) — Y / N | | `FormInfo.Part1A.Item2A.Q2A2` | Mid-sized adviser ($25M-$100M) — Y / N | | `FormInfo.Part1A.Item5A.TtlEmp` | Total number of employees | | `FormInfo.Part1A.Item5F.Q5F2A` | Discretionary regulatory AUM ($) | | `FormInfo.Part1A.Item5F.Q5F2B` | Non-discretionary regulatory AUM ($) | | `FormInfo.Part1A.Item5F.Q5F2C` | Total regulatory AUM ($) | | `FormInfo.Part1A.Item5F.Q5F2D` | Discretionary client accounts (#) | | `FormInfo.Part1A.Item5F.Q5F2F` | Total client accounts (#) | | `FormInfo.Part1A.Item5G.Q5G1` | Provides financial planning services | | `FormInfo.Part1A.Item5G.Q5G2` | Portfolio management for individuals / small business | | `FormInfo.Part1A.Item5G.Q5G3` | Portfolio management for investment companies | | `FormInfo.Part1A.Item5G.Q5G4` | Portfolio management for pooled vehicles (hedge funds, PE) | | `FormInfo.Part1A.Item5G.Q5G5` | Portfolio management for institutional clients | | `FormInfo.Part1A.Item5G.Q5G6` | Pension consulting services | | `FormInfo.Part1A.Item5G.Q5G7` | Selection of other advisers | | `FormInfo.Part1A.Item6A.Q6A1` | Active as broker-dealer / registered rep | | `FormInfo.Part1A.Item6A.Q6A4` | Active as futures commission merchant / CPO / CTA | | `FormInfo.Part1A.Item7A.Q7A1` | Has affiliated broker-dealer | | `FormInfo.Part1A.Item7A.Q7A2` | Has affiliated investment adviser | | `FormInfo.Part1A.Item7B.Q7B` | Adviser to one or more private funds — Y / N | | `MainAddr.Strt1` | Street address, line 1. | | `MainAddr.Strt2` | Street address, line 2. | | `MainAddr.PhNb` | Phone number. | | `MainAddr.FaxNb` | Fax number. | | `MailingAddr.Strt1` | Street address, line 1. | | `MailingAddr.Strt2` | Street address, line 2. | | `MailingAddr.City` | City. | | `MailingAddr.State` | State or province code. | | `MailingAddr.Cntry` | Country. | | `MailingAddr.PostlCd` | Postal code. | | `MailingAddr.PhNb` | Phone number. | | `MailingAddr.FaxNb` | Fax number. | | `NoticeFiled.States.RgltrCd` | Regulator state code, e.g. FL for Florida. | | `NoticeFiled.States.St` | Notice filed status of the state. Allowed values are: FILED (Notice Filed), PENDSEC (Pending). | | `NoticeFiled.States.Dt` | Effective date of the notice filed status, e.g. 2017-02-22. | | `StateRgstn.Rgltrs.Rgltr.Cd` | Allowed state code, e.g. FL for Florida. | | `StateRgstn.Rgltrs.Rgltr.St` | Registration status with the state regulator. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE. | | `StateRgstn.Rgltrs.Rgltr.Dt` | Date, e.g. 2022-10-20 | | `ERA.Rgltrs.Rgltr.Cd` | Allowed state code, e.g. FL for Florida. | | `ERA.Rgltrs.Rgltr.St` | Exempt Reporting Adviser status with the state regulator. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE. | | `ERA.Rgltrs.Rgltr.Dt` | Date | | `FormInfo.Part1A.Item1.WebAddrs.WebAddrs` | Every website address the firm reported in Schedule D Section 1 I. | | `FormInfo.Part1A.Item1.WebAddrs.WebAddr` | One website address reported by the firm. WebAddrs holds the complete list. | | `FormInfo.Part1A.Item1.Q1I` | Firm's response to Part1A Item 1I: Do you have one or more websites (Y/N). | | `FormInfo.Part1A.Item1.Q1M` | Firm's response to Part1A Item 1M: Are you registered with a foreign financial regulatory authority (Y/N). | | `FormInfo.Part1A.Item1.Q1N` | Firm's response to Part1A Item 1N: Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934 (Y/N). | | `FormInfo.Part1A.Item1.Q1O` | Firm's response to Part1A Item 1O: Did you have $1 billion or more in assets on the last day of your most recent fiscal year (Y/N). | | `FormInfo.Part1A.Item1.Q1ODesc` | Firm's response to Part1A Item 1O: If yes, approx. amount of assets. | | `FormInfo.Part1A.Item1.Q1P` | Firm's response to Part1A Item 1P: Legal Entity Identifier (LEI). | | `FormInfo.Part1A.Item1.Q1F5` | The total number of offices other than the principal office and place of business. | | `FormInfo.Part1A.Item2A.Q2A4` | Firm's response to Part1A Item 2A(4): is your principal office and place of business outside the United States (Y/N)? Allowed values: Y = yes, N = is not. | | `FormInfo.Part1A.Item2A.Q2A5` | Firm's response to Part1A Item 2A(5): are you an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940. Allowed values: Y = yes, N = is not. | | `FormInfo.Part1A.Item2A.Q2A6` | Firm's response to Part1A Item 2A(6): are you an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management. Allowed values: Y = yes, N = is not. | | `FormInfo.Part1A.Item2A.Q2A7` | Firm's response to Part1A Item 2A(7): are yo a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2. Allowed values: Y = yes, N = is not. | | `FormInfo.Part1A.Item2A.Q2A8` | Firm's response to Part1A Item 2A(8): are you a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2A.Q2A9` | Firm's response to Part1A Item 2A(9): are you a newly formed adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2A.Q2A10` | Firm's response to Part1A Item 2A(10) are you a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2A.Q2A11` | Firm's response to Part1A Item 2A(11): are you an Internet adviser relying on rule 203A-2(e). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2A.Q2A12` | Firm's response to Part1A Item 2A(12): have received an SEC order exempting you from the prohibition against registration with the SEC. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2A.Q2A13` | Firm's response to Part1A Item 2A(13): are no longer eligible to remain registered with the SEC. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2B.Q2B1` | Firm's response to Part1A Item 2B(1): qualify for the exemption from registration as an adviser solely to one or more venture capital funds. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2B.Q2B2` | Firm's response to Part1A Item 2B(2): qualify for the exemption from registration because you act solely as an adviser to private funds and have assets under management in the United States of less than $150 million. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item2B.Q2B3` | Firm's response to Item to Part1A 2B(3): act solely as an adviser to private funds but you are no longer eligible to check box 2.B.(2) because you have assets under management in the United States of $150 million or more. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item3A.OrgFormNm` | Firm's response to Part1A Item 3A: How are you organized (description). | | `FormInfo.Part1A.Item3A.OrgFormOthNm` | Firm's response to Part1A Item 3A Other textbox: How are you organized, other (specify). | | `FormInfo.Part1A.Item3B.Q3B` | Firm's response to Part 1A Item 3B: In what month does your fiscal year end each year? | | `FormInfo.Part1A.Item3C.StateCD` | State code. | | `FormInfo.Part1A.Item3C.CntryNm` | Country. | | `FormInfo.Part1A.Item5B.Q5B1` | Firm's response to Part1A Item 5B(1): Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research). | | `FormInfo.Part1A.Item5B.Q5B2` | Firm's response to Part1A Item 5B(2): Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer. | | `FormInfo.Part1A.Item5B.Q5B3` | Firm's response to Part1A Item 5B(3): Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives. | | `FormInfo.Part1A.Item5B.Q5B4` | Firm's response to Part1A Item 5B(4): Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you. | | `FormInfo.Part1A.Item5B.Q5B5` | Firm's response to Part1A Item 5B(5): Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency. | | `FormInfo.Part1A.Item5B.Q5B6` | Firm's response to Part1A Item 5B(6): Approximately how many firms or other persons solicit advisory clients on your behalf. | | `FormInfo.Part1A.Item5C.Q5C1` | Firm's response to Part1A Item 5C(1): To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year. | | `FormInfo.Part1A.Item5C.Q5C1Oth` | Firm's response to Part1A Item 5C(1): If more than 100, how many (round to the nearest 100). | | `FormInfo.Part1A.Item5C.Q5C2` | Firm's response to Part1A Item 5C(2): Approximately what percentage of your clients are non-United States persons. | | `FormInfo.Part1A.Item5D.Q5D1A` | Firm's response to Part1A Item 5D(1)(a): Individuals (other than high net worth individuals) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1B` | Firm's response to Part1A Item 5D(1)(b): High net worth individuals in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1C` | Firm's response to Part1A Item 5D(1)(c): Banking or thrift institutions in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1D` | Firm's response to Part1A Item 5D(1)(d): Investment companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1E` | Firm's response to Part1A Item 5D(1)(e): Business development companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1F` | Firm's response to Part1A Item 5D(1)(f): Pooled investment vehicles (other than investment companies) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1G` | Firm's response to Part1A Item 5D(1)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1H` | Firm's response to Part1A Item 5D(1)(h): Charitable organizations in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1I` | Firm's response to Part1A Item 5D(1)(i): Corporations or other businesses not listed above in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1J` | Firm's response to Part1A Item 5D(1)(j): State or municipal government entities in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1K` | Firm's response to Part1A Item 5D(1)(k): Other investment advisers in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1L` | Firm's response to Part1A Item 5D(1)(l): Insurance companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1M` | Firm's response to Part1A Item 5D(1)(m): Other in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D1MOth` | Firm's response to Part1A Item 5D(1)(m): Other textbox in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2A` | Firm's response to Part1A Item 5D(2)(a): Individuals (other than high net worth individuals) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2B` | Firm's response to Part1A Item 5D(2)(b): High net worth individuals in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2C` | Firm's response to Part1A Item 5D(2)(c): Banking or thrift institutions in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2D` | Firm's response to Part1A Item 5D(2)(d): Investment companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2E` | Firm's response to Part1A Item 5D(2)(e): Business development companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2F` | Firm's response to Part1A Item 5D(2)(f): Pooled investment vehicles (other than investment companies) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2G` | Firm's response to Part1A Item 5D(2)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2H` | Firm's response to Part1A Item 5D(2)(h): Charitable organizations in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2I` | Firm's response to Part1A Item 5D(2)(i): Corporations or other businesses not listed above in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2J` | Firm's response to Part1A Item 5D(2)(j): State or municipal government entities in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2K` | Firm's response to Part1A Item 5D(2)(k): Other investment advisers in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2L` | Firm's response to Part1A Item 5D(2)(l): Insurance companies in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2M` | Firm's response to Part1A Item 5D(2)(m): Other in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5D2MOth` | Firm's response to Part1A Item 5D(2)(m): Other textbox in 10/2012 version | | `FormInfo.Part1A.Item5D.Q5DA1` | Firm's response to Part1A Item 5D(a)(1): Number of clients -Individuals (other than high net worth individuals) | | `FormInfo.Part1A.Item5D.Q5DA2` | Firm's response to Part1A Item 5D(a)(2): Fewer than 5 clients -Individuals (other than high net worth individuals) | | `FormInfo.Part1A.Item5D.Q5DA3` | Firm's response to Part1A Item 5D(1)(a)(3): Regulatory Assets under Management -Individuals (other than high net worth individuals) | | `FormInfo.Part1A.Item5D.Q5DB1` | Firm's response to Part1A Item 5D(b)(1): Number of clients -Individuals high net worth individuals | | `FormInfo.Part1A.Item5D.Q5DB2` | Firm's response to Part1A Item 5D(b)(2): Fewer than 5 clients - high net worth individuals | | `FormInfo.Part1A.Item5D.Q5DB3` | Firm's response to Part1A Item 5D(b)(3): Regulatory Assets under Management -Individuals high net worth individuals | | `FormInfo.Part1A.Item5D.Q5DC1` | Firm's response to Part1A Item 5D(c)(1): Banking or thrift institutions | | `FormInfo.Part1A.Item5D.Q5DC2` | Firm's response to Part1A Item 5D(c)(2): Banking or thrift institutions | | `FormInfo.Part1A.Item5D.Q5DC3` | Firm's response to Part1A Item 5D(c)(3): Banking or thrift institutions | | `FormInfo.Part1A.Item5D.Q5DD1` | Firm's response to Part1A Item 5D(d)(1): Investment companies | | `FormInfo.Part1A.Item5D.Q5DD3` | Firm's response to Part1A Item 5D(d)(3): Investment companies | | `FormInfo.Part1A.Item5D.Q5DE1` | Firm's response to Part1A Item 5D(e)(1): Business development companies | | `FormInfo.Part1A.Item5D.Q5DE3` | Firm's response to Part1A Item 5D(e)(3): Business development companies | | `FormInfo.Part1A.Item5D.Q5DF1` | Firm's response to Part1A Item 5D(f)(1): Pooled investment vehicles (other than investment companies and Business development companies) | | `FormInfo.Part1A.Item5D.Q5DF3` | Firm's response to Part1A Item 5D(f)(3): Pooled investment vehicles (other than investment companies and Business development companies) | | `FormInfo.Part1A.Item5D.Q5DG1` | Firm's response to Part1A Item 5D(1)(g)(1): Pension and profit sharing plans (but not the plan participants) | | `FormInfo.Part1A.Item5D.Q5DG2` | Firm's response to Part1A Item 5D(g)(2): Pension and profit sharing plans (but not the plan participants) | | `FormInfo.Part1A.Item5D.Q5DG3` | Firm's response to Part1A Item 5D(1)(g)(3): Pension and profit sharing plans (but not the plan participants) | | `FormInfo.Part1A.Item5D.Q5DH1` | Firm's response to Part1A Item 5D(h)(1): Charitable organizations | | `FormInfo.Part1A.Item5D.Q5DH2` | Firm's response to Part1A Item 5D(1)(h)(2): Charitable organizations | | `FormInfo.Part1A.Item5D.Q5DH3` | Firm's response to Part1A Item 5D(h)(3): Charitable organizations | | `FormInfo.Part1A.Item5D.Q5DI1` | Firm's response to Part1A Item 5D(i)(1): State or municipal government entities (including government pension plans) | | `FormInfo.Part1A.Item5D.Q5DI2` | Firm's response to Part1A Item 5D(1)(i)(2): State or municipal government entities (including government pension plans) | | `FormInfo.Part1A.Item5D.Q5DI3` | Firm's response to Part1A Item 5D(i)(3): State or municipal government entities (including government pension plans) | | `FormInfo.Part1A.Item5D.Q5DJ1` | Firm's response to Part1A Item 5D(j)(1): Other investment advisers | | `FormInfo.Part1A.Item5D.Q5DJ2` | Firm's response to Part1A Item 5D(j)(2): Other investment advisers | | `FormInfo.Part1A.Item5D.Q5DJ3` | Firm's response to Part1A Item 5D(j)(3): Other investment advisers | | `FormInfo.Part1A.Item5D.Q5DK1` | Firm's response to Part1A Item 5D(k)(1): Insurance companies | | `FormInfo.Part1A.Item5D.Q5DK2` | Firm's response to Part1A Item 5D(k)(2): Insurance companies | | `FormInfo.Part1A.Item5D.Q5DK3` | Firm's response to Part1A Item 5D(k)(3): Insurance companies | | `FormInfo.Part1A.Item5D.Q5DL1` | Firm's response to Part1A Item 5D(l)(1): Sovereign wealth funds and foreign official institutions | | `FormInfo.Part1A.Item5D.Q5DL2` | Firm's response to Part1A Item 5D(l)(2): Sovereign wealth funds and foreign official institutions | | `FormInfo.Part1A.Item5D.Q5DL3` | Firm's response to Part1A Item 5D(l)(3): Sovereign wealth funds and foreign official institutions | | `FormInfo.Part1A.Item5D.Q5DM1` | Firm's response to Part1A Item 5D(m)(1): Corporations or other businesses not listed above | | `FormInfo.Part1A.Item5D.Q5DM2` | Firm's response to Part1A Item 5D(m)(2): Corporations or other businesses not listed above | | `FormInfo.Part1A.Item5D.Q5DM3` | Firm's response to Part1A Item 5D(m)(3): Corporations or other businesses not listed above | | `FormInfo.Part1A.Item5D.Q5DN1` | Firm's response to Part1A Item 5D(n)(1): Other | | `FormInfo.Part1A.Item5D.Q5DN2` | Firm's response to Part1A Item 5D(n)(2): Other | | `FormInfo.Part1A.Item5D.Q5DN3` | Firm's response to Part1A Item 5D(n)(3): Other | | `FormInfo.Part1A.Item5D.Q5DN3Oth` | Firm's response to Part1A Item 5D(n)(3): Other text box | | `FormInfo.Part1A.Item5E.Q5E1` | Firm's response to Part1A Item 5E(1): A percentage of assets under your management. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E2` | Firm's response to Part1A Item 5E(2): Hourly charges. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E3` | Firm's response to Part1A Item 5E(3): Subscription fees (for a newsletter or periodical). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E4` | Firm's response to Part1A Item 5E(4): Fixed fees (other than subscription fees). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E5` | Firm's response to Part1A Item 5E(5): Commissions. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E6` | Firm's response to Part1A Item 5E(6): Performance-based fees. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E7` | Firm's response to Part1A Item 5E(7): Other. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5E.Q5E7Oth` | Firm's response to Part1A Item 5E(7): Other (specify). | | `FormInfo.Part1A.Item5F.Q5F1` | Firm's response to Part1A Item 5F(1): Do you provide continuous and regular supervisory or management services to securities portfolios. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5F.Q5F2E` | Firm's response to Part1A Item 5F2e-Non-Discretionary Total Number of Accounts. | | `FormInfo.Part1A.Item5F.Q5F3` | Firm's response to Part1A Item 5F(3): Approximate amount of total regulatory assets under management (reported in Item 5.F.(2)(c) ) attributable to clients who are non-United States persons | | `FormInfo.Part1A.Item5G.Q5G8` | Firm's response to Part1A Item 5G(8): Publication of periodicals or newsletters. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5G.Q5G9` | Firm's response to Part1A Item 5G(9): Security ratings or pricing services. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5G.Q5G10` | Firm's response to Part1A Item 5G(10): Market timing services. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5G.Q5G11` | Firm's response to Part1A Item 5G(11): Educational seminars/workshops. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5G.Q5G12` | Firm's response to Part1A Item 5G(12): Other. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5G.Q5G12Oth` | Firm's response to Part1A Item 5G(12) Other (specify). | | `FormInfo.Part1A.Item5H.Q5H` | Firm's response to Part1A Item 5H-If you provide financial planning services, to how many clients did you provide these services during your last fiscal year. | | `FormInfo.Part1A.Item5H.Q5HMT500` | Firm's response to Part1A Item 5H-If more than 500, how many (round to the nearest 500). | | `FormInfo.Part1A.Item5I.Q5I1` | Firm's response to Part1A Item 5I(1): sponsor the wrap fee program. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5I.Q5I2A` | Firm's response to Part1A Item 5I(2)(a) - amount of your regulatory assets under management attributable to acting as sponsor to a wrap fee program | | `FormInfo.Part1A.Item5I.Q5I2B` | Firm's response to Part1A Item 5I(2)(b) - amount of your regulatory assets under management attributable to acting as portfolio manager for a wrap fee program | | `FormInfo.Part1A.Item5I.Q5I2C` | Firm's response to Part1A Item 5I(2)(c) - amount of your regulatory assets under management attributable to acting as sponsor to and portfolio manager for the same wrap fee program | | `FormInfo.Part1A.Item5J.Q5J1` | Firm's response to Part1A Item 5J-In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5J.Q5J2` | Firm's response to Part1A Item 5J(2): Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management? Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5K.Q5K1` | Firm's response to Part1A Item 5K(1): Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5K.Q5K2` | Firm's response to Part1A Item 5K(2): Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5K.Q5K3` | Firm's response to Part1A Item 5K(3): Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5K.Q5K4` | Firm's response to Part1A Item 5K(4): After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory assets under management Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L1A` | Firm's response to Part1A Item 5L(1)(a): Do any of your advertisements include performance results. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L1B` | Firm's response to Part1A Item 5L(1)(b): Do any of your advertisements include a reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5)) Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L1C` | Firm's response to Part1A Item 5L(1)(c): Do any of your advertisements include testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L1D` | Firm's response to Part1A Item 5L(1)(d): Do any of your advertisements include endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L1E` | Firm's response to Part1A Item 5L(1)(e): Do any of your advertisements include third-party ratings Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L2` | Firm's response to Part1A Item 5L(2): Do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in connection with the use of testimonials, endorsements, or third-party ratings Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L3` | Firm's response to Part1A Item 5L(3): Do any of your advertisements include hypothetical performance Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item5L.Q5L4` | Firm's response to Part1A Item 5L(4): Do any of your advertisements include predecessor performance Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A2` | Firm's response to Part1A Item 6A(2): registered representative of a broker-dealer. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A3` | Firm's response to Part1A Item 6A(3): commodity pool operator or commodity trading advisor (whether registered or exempt from registration). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A5` | Firm's response to Part1A Item 6A(5): real estate broker, dealer, or agent. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A6` | Firm's response to Part1A Item 6A(6): insurance broker or agent. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A7` | Firm's response to Part1A Item 6A(7): bank (including a separately identifiable department or division of a bank). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A8` | Firm's response to Part1A Item 6A(8): trust company. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A9` | Firm's response to Part1A Item 6A(9): registered municipal advisor. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A10` | Firm's response to Part1A Item 6A(10): registered security-based swap dealer. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A11` | Firm's response to Part1A Item 6A(11): major security-based swap participant. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A12` | Firm's response to Part1A Item 6A(12): accountant or accounting firm. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A13` | Firm's response to Part1A Item 6A(13): lawyer or law firm. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6A.Q6A14` | Firm's response to Part1A Item 6A(14): Other financial product salesperson Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1A.Item6A.Q6A14Oth` | Firm's response to Part1A Item 6A(14): Other text when financial product salesperson is selected 'Y'. | | `FormInfo.Part1A.Item6B.Q6B1` | Firm's response to Part1A Item 6B(1): Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6B.Q6B3` | Firm's response to Part1A Item 6B(3): Do you sell products or provide services other than investment advice to your advisory clients. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item6B.Q6B2` | Firm's response to Part1A Item 6B(2): If yes, is this other business your primary business. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A3` | Firm's response to Part1A Item 7A(3): registered municipal advisor. | | `FormInfo.Part1A.Item7A.Q7A4` | Firm's response to Part1A Item 7A(4): registered security-based swap dealer. | | `FormInfo.Part1A.Item7A.Q7A5` | Firm's response to Part1A Item 7A(5): major security-based swap participant. | | `FormInfo.Part1A.Item7A.Q7A6` | Firm's response to Part1A Item 7A(6): commodity pool operator or commodity trading advisor (whether registered or exempt from registration). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A7` | Firm's response to Part1A Item 7A(7): futures commission merchant. | | `FormInfo.Part1A.Item7A.Q7A8` | Firm's response to Part1A Item 7A(8): banking or thrift institution. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A9` | Firm's response to Part1A Item 7A(9): trust company. | | `FormInfo.Part1A.Item7A.Q7A10` | Firm's response to Part1A Item 7A(10): accountant or accounting firm. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A11` | Firm's response to Part1A Item 7A(11): lawyer or law firm. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A12` | Firm's response to Part1A Item 7A(12): insurance company or agency. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A13` | Firm's response to Part1A Item 7A(13): pension consultant. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A14` | Firm's response to Part1A Item 7A(14): real estate broker or dealer. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A15` | Firm's response to Part1A Item 7A(15): sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item7A.Q7A16` | Firm's response to Part1A Item 7A(16): sponsor, general partner, managing member (or equivalent) of pooled investment vehicles. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8A.Q8A1` | Firm's response to Part1A Item 8A(1): buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8A.Q8A2` | Firm's response to Part1A Item 8A(2): buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8A.Q8A3` | Firm's response to Part1A Item 8A(3): recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A(1) or (2)). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8B.Q8B1` | Firm's response to Part1A Item 8B(1): as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8B.Q8B2` | Firm's response to Part1A Item 8B(2): recommend purchase of securities to advisory clients for which you or any related person serves as underwriter, general or managing partner, or purchaser representative. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8B.Q8B3` | Firm's response to Part1A Item 8B(3): recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8C.Q8C1` | Firm's response to Part1A Item 8C(1): securities to be bought or sold for a client's account. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8C.Q8C2` | Firm's response to Part1A Item 8C(2): amount of securities to be bought or sold for a client's account. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8C.Q8C3` | Firm's response to Part1A Item 8C(3): broker or dealer to be used for a purchase or sale of securities for a client's account. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8C.Q8C4` | Firm's response to Part1A Item 8C(4): commission rates to be paid to a broker or dealer for a client's securities transactions. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8D.Q8D` | Firm's response to Part1A Item 8D-If you answer "yes" to 8C.(3), are any of the brokers or dealers related persons. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8E.Q8E` | Firm's response to Part1A Item 8E -Do you or any related person recommend brokers or dealers to clients. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8F.Q8F` | Firm's response to Part1A Item 8F-If you answer "yes" to 8E, are any of the brokers or dealers related persons. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8G.Q8G1` | Firm's response to Part1A Item 8G(1): Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8G.Q8G2` | Firm's response to Part1A Item 8G(2): If "yes" to G.(1), are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8H.Q8H` | Firm's response to Part1A Item 8H-Do you or any related person, directly or indirectly, compensate any person for client referrals in 10/2012 version Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item8H.Q8H1` | Firm's response to Part1A Item 8H(1) (new revision) | | `FormInfo.Part1A.Item8H.Q8H2` | Firm's response to Part1A Item 8H(2) (new revision) | | `FormInfo.Part1A.Item8I.Q8I` | Firm's response to Part1A Item 8I-Do you or any related person, directly or indirectly, receive compensation from any person for client referrals. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9A.Q9A1A` | Firm's response to Part1A Item 9A(1)(a): cash or bank accounts. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9A.Q9A1B` | Firm's response to Part1A Item 9A(1)(b): securities. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9A.Q9A2A` | Firm's response to Part1A Item 9A(2)(a): U.S. Dollar Amount. | | `FormInfo.Part1A.Item9A.Q9A2B` | Firm's response to Part1A Item 9A(2)(b): Total Number of Clients. | | `FormInfo.Part1A.Item9B.Q9B1A` | Firm's response to Part1A Item 9B(1)(a): cash or bank accounts. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9B.Q9B1B` | Firm's response to Part1A Item 9B(1)(b): securities. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9B.Q9B2A` | Firm's response to Part1A Item 9B(2)(a): U.S. Dollar Amount. | | `FormInfo.Part1A.Item9B.Q9B2B` | Firm's response to Part1A Item 9B(2)(b): Total Number of Clients. | | `FormInfo.Part1A.Item9C.Q9C1` | Firm's response to Part1A Item 9C(1): A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage. | | `FormInfo.Part1A.Item9C.Q9C2` | Firm's response to Part1A Item 9C(2): An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools. | | `FormInfo.Part1A.Item9C.Q9C3` | Firm's response to Part1A Item 9C(3): An independent public accountant conducts an annual surprise examination of client funds and securities. | | `FormInfo.Part1A.Item9C.Q9C4` | Firm's response to Part1A Item 9C(4): An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities. | | `FormInfo.Part1A.Item9D.Q9D1` | Firm's response to Part1A Item 9D(1): you act as a qualified custodian. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9D.Q9D2` | Firm's response to Part1A Item 9D(2): Do you or your related persons act as qualified custodians for your clients in connection with advisory services you provide to clients your related persons act as qualified custodians. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item9E.Q9E` | Firm's response to Part1A Item 9E-If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (YYYY-MM) the examination commenced. | | `FormInfo.Part1A.Item9F.Q9F` | Firm's response to Part1A Item 9F-If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients. | | `FormInfo.Part1A.Item10A.Q10A` | Firm's response to Part1A Item 10A -Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11.Q11` | Firm's response to Part1A Item 11-Do any of the events below involve you or any of your supervised persons. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11A.Q11A1` | Firm's response to Part1A Item 11A(1): been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11A.Q11A2` | Firm's response to Part1A Item 11A(2): been charged with any felony. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11B.Q11B1` | Firm's response to Part1A Item 11B(1): been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11B.Q11B2` | Firm's response to Part1A Item 11B(2): been charged with a misdemeanor listed in 11.B(1). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11C.Q11C1` | Firm's response to Part1A Item 11C(1): found you or any advisory affiliate to have made a false statement or omission. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11C.Q11C2` | Firm's response to Part1A Item 11C(2): found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11C.Q11C3` | Firm's response to Part1A Item 11C(3): found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11C.Q11C4` | Firm's response to Part1A Item 11C(4): entered an order against you or any advisory affiliate in connection with investment-related activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11C.Q11C5` | Firm's response to Part1A Item 11C(5): imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11D.Q11D1` | Firm's response to Part1A Item 11D(1): ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11D.Q11D2` | Firm's response to Part1A Item 11D(2): ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11D.Q11D3` | Firm's response to Part1A Item 11D(3): ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11D.Q11D4` | Firm's response to Part1A Item 11D(4): in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11D.Q11D5` | Firm's response to Item 11D(5): ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11E.Q11E1` | Firm's response to Part1A Item 11E(1): found you or any advisory affiliate to have made a false statement or omission. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11E.Q11E2` | Firm's response to Item 11E(2): found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC). Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11E.Q11E3` | Firm's response to Part1A Item 11E(3): found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11E.Q11E4` | Firm's response to Part1A Item 11E(4): disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11F.Q11F` | Firm's response to Part1A Item 11F-Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11G.Q11G` | Firm's response to Part1A Item 11G-Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11H.Q11G` | Firm's response to Part1A Item 11G-Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11H.Q11H1A` | Firm's response to Part1A Item 11H(1)(a): the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11H.Q11H1B` | Firm's response to Part1A Item 11H(1)(b): ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11H.Q11H1C` | Firm's response to Part1A Item 11H(1)(c): ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority. Allowed values: Y = yes, N = no. | | `FormInfo.Part1A.Item11H.Q11H2` | Firm's response to Part1A Item 11H(2): Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.Item2.Q1B2B1` | Firm's most recent response to Part 1B Item2B(1). Bond/Capital Information - Name of Issuing Insurance Company. | | `FormInfo.Part1B.Item2.Q1B2B2` | Firm's most recent response to Part 1B Item2B(2). Bond/Capital Information - Amount of Bond. | | `FormInfo.Part1B.Item2.Q1B2B4` | Firm's most recent response to Part 1B Item2B(4). Bond/Capital Information - If required by your home state, are you in compliance with your home state's minimum capital requirements. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2C` | Firm's most recent response to Part 1B Item2C. Has a bonding company ever denied, paid out on, or revoked a bond for you any advisory affiliate, or any management person. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2D` | Firm's most recent response to Part 1B Item2D. Are there any unsatisfied judgments or liens against you, any advisory affiliate, or any management person. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2E1` | Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (1) any investment or an investment-related business or activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2E2` | Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (2) fraud, false statement, or omission. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2E3` | Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (3) theft, embezzlement, or other wrongful taking of property. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2E4` | Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (4) bribery, forgery, counterfeiting, or extortion. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2E5` | Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (5) dishonest, unfair, or unethical practices. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2F1` | Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (1) an investment or investment-related business or activity. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2F2` | Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (2) fraud, false statement, or omission. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2F3` | Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (3) theft, embezzlement, or other wrongful taking of property. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2F4` | Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (4) bribery, forgery, counterfeiting, or extortion. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.DsclrQstns.Q1B2F5` | Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (5) dishonest, unfair, or unethical practices. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemG.Q1BG1TaxPrprr` | Firm's most recent response to Part 1B Item2G. Other Business Activities (1) Are you actively engaged in business as a(n): Tax preparer Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1B.ItemG.Q1BG1IssueScrts` | Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Issuer of securities Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1B.ItemG.Q1BG1XcldPoolInvmt` | Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1B.ItemG.Q1BG1PoolInvmt` | Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1B.ItemG.Q1BG1ReAdvsr` | Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Real estate adviser Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. | | `FormInfo.Part1B.ItemG.Q1B2G2` | Firm's most recent response to Part 1B Item2G(2) If you any advisory affiliate, or any management person are actively engaged in any business other than those listed in Item 6.A. of Part 1 A or Item 2.G(1) of Part 1B, described the business and the approximate amount of time spend on that business. | | `FormInfo.Part1B.ItemH.Q1B2HScrtsNvsmt` | Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: Securities Investments. | | `FormInfo.Part1B.ItemH.Q1B2HScrtsNvsmtAm` | Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: If securities investments are over $5,000,000, how much. | | `FormInfo.Part1B.ItemH.Q1B2HNScrtsNvsmt` | Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: Non-Securities Investments. | | `FormInfo.Part1B.ItemH.Q1B2HNScrtsNvsmtAm` | Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: If non-securities investments are over $5,000,000, how much. | | `FormInfo.Part1B.ItemI.Q1B2I1` | Firm's most recent response to Part 1B Item 2I. Custody (1) Do you withdraw advisory fees directly from your clients' accounts. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I1A` | Firm's most recent response to Part 1B Item 2I(1)(a) Do you send a copy of your invoice to the custodian or trustee at the same time that you send a copy to the client. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I1B` | Firm's most recent response to Part 1B Item 2I(1)(b) Does the custodian send quarterly statements to your clients showing all disbursements for the custodian account, including the amount of the advisory fees. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I1C` | Firm's most recent response to Part 1B Item 2I(1)(c) Do your clients provide written authorization permitting you to be paid directly for their accounts held by the custodian or trustee. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I2Ai` | Firm's most recent response to Part 1B Item 2I(2) (a)(i) Do you or a related person act as general partner, managing member, or person serving in a similar capacity, for any pooled investment vehicle for which you are the adviser to the pooled investment vehicle, or for which you are the adviser to one or more of the investors in the pooled investment vehicle? Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I2AiiAtrny` | Firm's most recent response to Part 1B Item 2I(2)(a)(ii) As the general partner , managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I2AiiCpa` | Firm's most recent response to Part 1B Item 2I(2)(a) (ii) As the general partner, managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I2AiiOth` | Firm's most recent response to Part 1B Item 2I(2)(a) (ii) As the general partner, managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemI.Q1B2I2AiiOthTx` | Independent party description | | `FormInfo.Part1B.ItemI.Q1B2I2B` | Firm's most recent response to Part 1B Item 2I(2)(b) Do you or a related person act as investment adviser and a trustee for any trust, or act as a trustee for any trust in which your advisory clients are beneficiaries of the trust? | | `FormInfo.Part1B.ItemI.Q1B2I3` | Firm's most recent response to Part 1B Item 2I(3) Do you require prepayment of fees of more than $500 per client and for six months or more in advance. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ1A` | Firm's most recent response to Part 1B Item 2J(1)(a) Have you passed, on or after January 1, 2000, the Series 65 examination. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ1B` | Firm's most recent response to Part 1B Item 2J(1)(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also passed, at any time, the Series 7 examination. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2A` | Firm's most recent response to Part 1B Item 2J(2)(a) Do you have any investment advisory professional designation. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BCfp` | Firm's most recent response to Part 1B Item 2J(2)(b)(1) Certified Financial Planner ("CFP"). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BCfa` | Firm's most recent response to Part 1B Item 2J(2)(b)(2) Chartered Financial Analyst ("CFA"). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BChfc` | Firm's most recent response to Part 1B Item 2J(2)(b)(3) Chartered Financial Consultant ("ChFC"). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BCic` | Firm's most recent response to Part 1B Item 2J(2)(b)(4) Chartered Investment Counselor ("CIC"). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BPfs` | Firm's most recent response to Part 1B Item 2J(2)(b)(5) Personal Financial Specialist ("PFS"). Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemJ.Q1BJ2BNone` | Firm's most recent response to Part 1B Item 2J(2)(b)(6) None of the above. Allowed values: Y = yes, N = no. | | `FormInfo.Part1B.ItemK.Q1B2K1` | Firm's most recent response to Part 1B Item 2.K(1) If other than a sole proprietor, indicate the date you obtained your legal status: Date of formation: | | `id` | Identifier of the adviser record. On the firm endpoint it holds the CRD number of the firm and can be used in sort. | ## Response A JSON object. Nested attributes are collapsed; expand one to see its fields. total: object How many Form ADV filings matched the query. value: integer Number of matching filings, capped at 10000. A value of 10000 with relation gte means more than 10000 filings matched. relation: string Either eq, meaning value is exact, or gte, meaning value is a floor. filings: array of object An array of ADV filings matching your search query. Each array item represents an entire ADV filing. Items the firm did not answer are left out of the object. Info: object Firm identity as held in the IARD composite record. SECRgnCD: string SEC regional office code. Allowed values are: ARO-Atlanta Regional Office, BRO-Boston Regional Office, DRO-Denver Regional Office, FWRO-Fort Worth Regional Office, CHRO-Chicago Regional Office, NYRO-New York Regional Office, LARO-Los Angeles Regional Office, PLRO-Philadelphia Regional Office, SFRO-San Francisco Regional Office, MIRO-Miami Regional Office, HQ-Headquarters. FirmCrdNb: integer CRD number assigned by the FINRA's CRD system or by the IARD system, e.g. 133693 SECNb: string Firm's 801# or 802# from the IARD composite record. This maps to Form ADV-Item 1 - Q1.d BusNm: string Firm's primary business name from the IARD composite record. This maps to Form ADV-Item 1 - Q1.b LegalNm: string Firm's legal name from the IARD composite record. This maps to Form ADV-Item 1 - Q1.a UmbrRgstn: string Flag indicating if this firm registers more than 1 investment adviser under an umbrella registration. Values: Y (= yes), N (= no) MainAddr: object Item 1F Principal Main Office Address. Strt1: string Street address, line 1. Strt2: string Street address, line 2. City: string City. State: string State or province code. Cntry: string Country. PostlCd: string Postal code. PhNb: string Phone number. FaxNb: string Fax number. MailingAddr: optional object Item 1G Mailing Address Info. Strt1: string Street address, line 1. Strt2: string Street address, line 2. City: string City. State: string State or province code. Cntry: string Country. PostlCd: string Postal code. PhNb: string Phone number. FaxNb: string Fax number. Rgstn: optional array of object Firm registration types (only available for SEC registered advisers). FirmType: string Indiciates if the firm is registered or an ERA. Allowed values: Registered for registered firms, ERA for Exempt Reporting Adviser firms. St: string Firm's registration status with the SEC or the firm's ERA status at the time of report generation. Allowed values are: APPROVED (Approved), APPROVED-120 (120-Day Approval), SUSPENDED (Suspended), ACTIVE (Active). Dt: string Firm's effective date of their SEC registration or the firm's ERA reporting filing date at the time of report generation., e.g. 2022-10-20 NoticeFiled: optional object Active notice filing statuses (only available for SEC registered adivsers). States: array of object List of states the firm's notice is filed in. RgltrCd: string Regulator state code, e.g. FL for Florida. St: string Notice filed status of the state. Allowed values are: FILED (Notice Filed), PENDSEC (Pending). Dt: string Effective date of the notice filed status, e.g. 2017-02-22. StateRgstn: optional object State registrations only exist for state registered advisers. Rgltrs: object Regulators object Rgltr: array of object One item per state regulator. Cd: string Allowed state code, e.g. FL for Florida. St: string Registration status with the state regulator. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE. Dt: string Date, e.g. 2022-10-20 ERA: optional object Exempt Reporting Adviser Rgltrs: object Regulators Rgltr: array of object One item per state regulator. Cd: string Allowed state code, e.g. FL for Florida. St: string Exempt Reporting Adviser status with the state regulator. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE. Dt: string Date Filing: array of object The most recent Form ADV filing of the firm. One item per filing record. Dt: string The date the firm's most recent Form ADV filing was processed, e.g. 2022-10-20 FormVrsn: string The version of the latest form ADV submitted, e.g. 10/2021 FormInfo: object The content of the Form ADV itself, split into Part 1A and Part 1B. Part1A: object Part 1A details Item1: object Firm identifying information. This maps to Form ADV - Item 1. WebAddrs: object Firm's response to Schedule D Section 1 I Website Address - includes all if there are multiple websites reported. WebAddrs: array of string Every website address the firm reported in Schedule D Section 1 I. WebAddr: string One website address reported by the firm. WebAddrs holds the complete list. Q1I: string Firm's response to Part1A Item 1I: Do you have one or more websites (Y/N). Q1M: string Firm's response to Part1A Item 1M: Are you registered with a foreign financial regulatory authority (Y/N). Q1N: string Firm's response to Part1A Item 1N: Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934 (Y/N). Q1O: string Firm's response to Part1A Item 1O: Did you have $1 billion or more in assets on the last day of your most recent fiscal year (Y/N). Q1ODesc: string Firm's response to Part1A Item 1O: If yes, approx. amount of assets. Q1P: string Firm's response to Part1A Item 1P: Legal Entity Identifier (LEI). Q1F5: integer The total number of offices other than the principal office and place of business. Item2A: object For SEC registered advisers. This maps to Form ADV - Item 2A Q2A1: string Firm's response to Part1A Item 2A(1): are you a large advisory firm that either: (a) has regulatory assets under management of $100 million (in U.S. dollars) or more, or (b) is SEC-registered and is submitting an annual updating amendment and has regulatory assets under management of $90 million (in U.S. dollars) or more. Allowed values: Y = is large advisory firm, N = is not large adv. firm. Q2A2: string Firm's response to Part1A Item 2A(2): are you a mid-sized advisory firm that has regulatory assets under management of $25 million (in U.S. dollars) or more but less than $100 million (in U.S. dollars) and you are either: (a) not required to be registered as an adviser with the state securities authority of the state where you maintain your principal office and place of business, or (b) not subject to examination by the state securities authority of the state where you maintain your principal office and place of business. Allowed values: Y = is mid-sized advisory firm, N = is not. Q2A4: string Firm's response to Part1A Item 2A(4): is your principal office and place of business outside the United States (Y/N)? Allowed values: Y = yes, N = is not. Q2A5: string Firm's response to Part1A Item 2A(5): are you an investment adviser (or sub-adviser) to an investment company registered under the Investment Company Act of 1940. Allowed values: Y = yes, N = is not. Q2A6: string Firm's response to Part1A Item 2A(6): are you an investment adviser to a company which has elected to be a business development company pursuant to section 54 of the Investment Company Act of 1940 and has not withdrawn the election, and you have at least $25 million of regulatory assets under management. Allowed values: Y = yes, N = is not. Q2A7: string Firm's response to Part1A Item 2A(7): are yo a pension consultant with respect to assets of plans having an aggregate value of at least $200,000,000 that qualifies for the exemption in rule 203A-2. Allowed values: Y = yes, N = is not. Q2A8: string Firm's response to Part1A Item 2A(8): are you a related adviser under rule 203A-2(b) that controls, is controlled by, or is under common control with, an investment adviser that is registered with the SEC, and your principal office and place of business is the same as the registered adviser. Allowed values: Y = yes, N = no. Q2A9: string Firm's response to Part1A Item 2A(9): are you a newly formed adviser relying on rule 203A-2(c) because you expect to be eligible for SEC registration within 120 days. Allowed values: Y = yes, N = no. Q2A10: string Firm's response to Part1A Item 2A(10) are you a multi-state adviser that is required to register in 15 or more states and is relying on rule 203A-2(d). Allowed values: Y = yes, N = no. Q2A11: string Firm's response to Part1A Item 2A(11): are you an Internet adviser relying on rule 203A-2(e). Allowed values: Y = yes, N = no. Q2A12: string Firm's response to Part1A Item 2A(12): have received an SEC order exempting you from the prohibition against registration with the SEC. Allowed values: Y = yes, N = no. Q2A13: string Firm's response to Part1A Item 2A(13): are no longer eligible to remain registered with the SEC. Allowed values: Y = yes, N = no. Item2B: object For SEC registered advisers. This maps to Form ADV - Item 2B Q2B1: string Firm's response to Part1A Item 2B(1): qualify for the exemption from registration as an adviser solely to one or more venture capital funds. Allowed values: Y = yes, N = no. Q2B2: string Firm's response to Part1A Item 2B(2): qualify for the exemption from registration because you act solely as an adviser to private funds and have assets under management in the United States of less than $150 million. Allowed values: Y = yes, N = no. Q2B3: string Firm's response to Item to Part1A 2B(3): act solely as an adviser to private funds but you are no longer eligible to check box 2.B.(2) because you have assets under management in the United States of $150 million or more. Allowed values: Y = yes, N = no. Item3A: object Form of Organization - How are you organized? This maps to Form ADV - Item 3 - Q.A OrgFormNm: string Firm's response to Part1A Item 3A: How are you organized (description). OrgFormOthNm: string Firm's response to Part1A Item 3A Other textbox: How are you organized, other (specify). Item3B: object Form of Organization - In what month does your fiscal year end each year? This maps to Form ADV - Item 3 - Q.B Q3B: string Firm's response to Part 1A Item 3B: In what month does your fiscal year end each year? Item3C: object Firm's response to Part1A Item 3C: Under the laws of what state or country are you organized? StateCD: string State code. CntryNm: string Country. Item5A: object Firm's response to Part1A Item 5A: Approximately how many employees do you have. TtlEmp: integer Approximate number of employees of the firm. Item5B: object Information About Advisory Business - Approximately how many of the employees reported in 5.A. This maps to Form ADV - Item 5 - Q.B Q5B1: integer Firm's response to Part1A Item 5B(1): Approximately how many of the employees reported in 5.A. perform investment advisory functions (including research). Q5B2: integer Firm's response to Part1A Item 5B(2): Approximately how many of the employees reported in 5.A. are registered representatives of a broker-dealer. Q5B3: integer Firm's response to Part1A Item 5B(3): Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives. Q5B4: integer Firm's response to Part1A Item 5B(4): Approximately how many of the employees reported in 5.A. are registered with one or more state securities authorities as investment adviser representatives for an investment adviser other than you. Q5B5: integer Firm's response to Part1A Item 5B(5): Approximately how many of the employees reported in 5.A. are licensed agents of an insurance company or agency. Q5B6: integer Firm's response to Part1A Item 5B(6): Approximately how many firms or other persons solicit advisory clients on your behalf. Item5C: object Information About Advisory Business - Clients. This maps to Form ADV - Item 5 - Q.C.1 and Q.C.2 Q5C1: string Firm's response to Part1A Item 5C(1): To approximately how many clients did you provide investment advisory services during your most recently completed fiscal year. Q5C1Oth: integer Firm's response to Part1A Item 5C(1): If more than 100, how many (round to the nearest 100). Q5C2: integer Firm's response to Part1A Item 5C(2): Approximately what percentage of your clients are non-United States persons. Item5D: object Information About Advisory Business - Clients. This maps to Form ADV - Item 5 - Q.D. Q5D1A: string Firm's response to Part1A Item 5D(1)(a): Individuals (other than high net worth individuals) in 10/2012 version Q5D1B: string Firm's response to Part1A Item 5D(1)(b): High net worth individuals in 10/2012 version Q5D1C: string Firm's response to Part1A Item 5D(1)(c): Banking or thrift institutions in 10/2012 version Q5D1D: string Firm's response to Part1A Item 5D(1)(d): Investment companies in 10/2012 version Q5D1E: string Firm's response to Part1A Item 5D(1)(e): Business development companies in 10/2012 version Q5D1F: string Firm's response to Part1A Item 5D(1)(f): Pooled investment vehicles (other than investment companies) in 10/2012 version Q5D1G: string Firm's response to Part1A Item 5D(1)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 version Q5D1H: string Firm's response to Part1A Item 5D(1)(h): Charitable organizations in 10/2012 version Q5D1I: string Firm's response to Part1A Item 5D(1)(i): Corporations or other businesses not listed above in 10/2012 version Q5D1J: string Firm's response to Part1A Item 5D(1)(j): State or municipal government entities in 10/2012 version Q5D1K: string Firm's response to Part1A Item 5D(1)(k): Other investment advisers in 10/2012 version Q5D1L: string Firm's response to Part1A Item 5D(1)(l): Insurance companies in 10/2012 version Q5D1M: string Firm's response to Part1A Item 5D(1)(m): Other in 10/2012 version Q5D1MOth: string Firm's response to Part1A Item 5D(1)(m): Other textbox in 10/2012 version Q5D2A: string Firm's response to Part1A Item 5D(2)(a): Individuals (other than high net worth individuals) in 10/2012 version Q5D2B: string Firm's response to Part1A Item 5D(2)(b): High net worth individuals in 10/2012 version Q5D2C: string Firm's response to Part1A Item 5D(2)(c): Banking or thrift institutions in 10/2012 version Q5D2D: string Firm's response to Part1A Item 5D(2)(d): Investment companies in 10/2012 version Q5D2E: string Firm's response to Part1A Item 5D(2)(e): Business development companies in 10/2012 version Q5D2F: string Firm's response to Part1A Item 5D(2)(f): Pooled investment vehicles (other than investment companies) in 10/2012 version Q5D2G: string Firm's response to Part1A Item 5D(2)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 version Q5D2H: string Firm's response to Part1A Item 5D(2)(h): Charitable organizations in 10/2012 version Q5D2I: string Firm's response to Part1A Item 5D(2)(i): Corporations or other businesses not listed above in 10/2012 version Q5D2J: string Firm's response to Part1A Item 5D(2)(j): State or municipal government entities in 10/2012 version Q5D2K: string Firm's response to Part1A Item 5D(2)(k): Other investment advisers in 10/2012 version Q5D2L: string Firm's response to Part1A Item 5D(2)(l): Insurance companies in 10/2012 version Q5D2M: string Firm's response to Part1A Item 5D(2)(m): Other in 10/2012 version Q5D2MOth: string Firm's response to Part1A Item 5D(2)(m): Other textbox in 10/2012 version Q5DA1: integer Firm's response to Part1A Item 5D(a)(1): Number of clients -Individuals (other than high net worth individuals) Q5DA2: string Firm's response to Part1A Item 5D(a)(2): Fewer than 5 clients -Individuals (other than high net worth individuals) Q5DA3: integer Firm's response to Part1A Item 5D(1)(a)(3): Regulatory Assets under Management -Individuals (other than high net worth individuals) Q5DB1: integer Firm's response to Part1A Item 5D(b)(1): Number of clients -Individuals high net worth individuals Q5DB2: string Firm's response to Part1A Item 5D(b)(2): Fewer than 5 clients - high net worth individuals Q5DB3: integer Firm's response to Part1A Item 5D(b)(3): Regulatory Assets under Management -Individuals high net worth individuals Q5DC1: integer Firm's response to Part1A Item 5D(c)(1): Banking or thrift institutions Q5DC2: string Firm's response to Part1A Item 5D(c)(2): Banking or thrift institutions Q5DC3: integer Firm's response to Part1A Item 5D(c)(3): Banking or thrift institutions Q5DD1: integer Firm's response to Part1A Item 5D(d)(1): Investment companies Q5DD3: integer Firm's response to Part1A Item 5D(d)(3): Investment companies Q5DE1: integer Firm's response to Part1A Item 5D(e)(1): Business development companies Q5DE3: integer Firm's response to Part1A Item 5D(e)(3): Business development companies Q5DF1: integer Firm's response to Part1A Item 5D(f)(1): Pooled investment vehicles (other than investment companies and Business development companies) Q5DF3: integer Firm's response to Part1A Item 5D(f)(3): Pooled investment vehicles (other than investment companies and Business development companies) Q5DG1: integer Firm's response to Part1A Item 5D(1)(g)(1): Pension and profit sharing plans (but not the plan participants) Q5DG2: string Firm's response to Part1A Item 5D(g)(2): Pension and profit sharing plans (but not the plan participants) Q5DG3: integer Firm's response to Part1A Item 5D(1)(g)(3): Pension and profit sharing plans (but not the plan participants) Q5DH1: integer Firm's response to Part1A Item 5D(h)(1): Charitable organizations Q5DH2: string Firm's response to Part1A Item 5D(1)(h)(2): Charitable organizations Q5DH3: integer Firm's response to Part1A Item 5D(h)(3): Charitable organizations Q5DI1: integer Firm's response to Part1A Item 5D(i)(1): State or municipal government entities (including government pension plans) Q5DI2: string Firm's response to Part1A Item 5D(1)(i)(2): State or municipal government entities (including government pension plans) Q5DI3: integer Firm's response to Part1A Item 5D(i)(3): State or municipal government entities (including government pension plans) Q5DJ1: integer Firm's response to Part1A Item 5D(j)(1): Other investment advisers Q5DJ2: string Firm's response to Part1A Item 5D(j)(2): Other investment advisers Q5DJ3: integer Firm's response to Part1A Item 5D(j)(3): Other investment advisers Q5DK1: integer Firm's response to Part1A Item 5D(k)(1): Insurance companies Q5DK2: string Firm's response to Part1A Item 5D(k)(2): Insurance companies Q5DK3: integer Firm's response to Part1A Item 5D(k)(3): Insurance companies Q5DL1: integer Firm's response to Part1A Item 5D(l)(1): Sovereign wealth funds and foreign official institutions Q5DL2: string Firm's response to Part1A Item 5D(l)(2): Sovereign wealth funds and foreign official institutions Q5DL3: integer Firm's response to Part1A Item 5D(l)(3): Sovereign wealth funds and foreign official institutions Q5DM1: integer Firm's response to Part1A Item 5D(m)(1): Corporations or other businesses not listed above Q5DM2: string Firm's response to Part1A Item 5D(m)(2): Corporations or other businesses not listed above Q5DM3: integer Firm's response to Part1A Item 5D(m)(3): Corporations or other businesses not listed above Q5DN1: integer Firm's response to Part1A Item 5D(n)(1): Other Q5DN2: string Firm's response to Part1A Item 5D(n)(2): Other Q5DN3: integer Firm's response to Part1A Item 5D(n)(3): Other Q5DN3Oth: string Firm's response to Part1A Item 5D(n)(3): Other text box Item5E: object Information About Advisory Business - Compensation Arrangements. This maps to Form ADV - Item 5 - Q.E Q5E1: string Firm's response to Part1A Item 5E(1): A percentage of assets under your management. Allowed values: Y = yes, N = no. Q5E2: string Firm's response to Part1A Item 5E(2): Hourly charges. Allowed values: Y = yes, N = no. Q5E3: string Firm's response to Part1A Item 5E(3): Subscription fees (for a newsletter or periodical). Allowed values: Y = yes, N = no. Q5E4: string Firm's response to Part1A Item 5E(4): Fixed fees (other than subscription fees). Allowed values: Y = yes, N = no. Q5E5: string Firm's response to Part1A Item 5E(5): Commissions. Allowed values: Y = yes, N = no. Q5E6: string Firm's response to Part1A Item 5E(6): Performance-based fees. Allowed values: Y = yes, N = no. Q5E7: string Firm's response to Part1A Item 5E(7): Other. Allowed values: Y = yes, N = no. Q5E7Oth: string Firm's response to Part1A Item 5E(7): Other (specify). Item5F: object Information About Advisory Business - Regulatory Assets Under Management. This maps to Form ADV - Item 5 - Q.F Q5F1: string Firm's response to Part1A Item 5F(1): Do you provide continuous and regular supervisory or management services to securities portfolios. Allowed values: Y = yes, N = no. Q5F2A: integer Firm's response to Part1A Item 5F2a-Discretionary U.S. Dollar Amount. Q5F2B: integer Firm's response to Part1A Item 5F2b-Non-Discretionary U. S. Dollar Amount. Q5F2C: integer Firm's response to Part1A Item 5F2c-Total U.S. Dollar Amount. Q5F2D: integer Firm's response to Part1A Item 5F2d-Discretionary Total Number of Accounts. Q5F2E: integer Firm's response to Part1A Item 5F2e-Non-Discretionary Total Number of Accounts. Q5F2F: integer Firm's response to Part1A Item 5F2f-Total Number of Accounts. Q5F3: integer Firm's response to Part1A Item 5F(3): Approximate amount of total regulatory assets under management (reported in Item 5.F.(2)(c) ) attributable to clients who are non-United States persons Item5G: object Information About Advisory Business - What type(s) of advisory services do you provide?. This maps to Form ADV - Item 5 - Q.G Q5G1: string Firm's response to Part1A Item 5G(1): Financial planning services. Allowed values: Y = yes, N = no. Q5G2: string Firm's response to Part1A Item 5G(2): Portfolio management for individuals and/or small businesses. Allowed values: Y = yes, N = no. Q5G3: string Firm's response to Part1A Item 5G(3): Portfolio management for investment companies. Allowed values: Y = yes, N = no. Q5G4: string Firm's response to Part1A Item 5G(4): Portfolio management for pooled investment vehicles (other than investment companies). Allowed values: Y = yes, N = no. Q5G5: string Firm's response to Part1A Item 5G(5): Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles and). Allowed values: Y = yes, N = no. Q5G6: string Firm's response to Part1A Item 5G(6): Pension consulting services. Allowed values: Y = yes, N = no. Q5G7: string Firm's response to Part1A Item 5G(7): Selection of other advisers. Allowed values: Y = yes, N = no. Q5G8: string Firm's response to Part1A Item 5G(8): Publication of periodicals or newsletters. Allowed values: Y = yes, N = no. Q5G9: string Firm's response to Part1A Item 5G(9): Security ratings or pricing services. Allowed values: Y = yes, N = no. Q5G10: string Firm's response to Part1A Item 5G(10): Market timing services. Allowed values: Y = yes, N = no. Q5G11: string Firm's response to Part1A Item 5G(11): Educational seminars/workshops. Allowed values: Y = yes, N = no. Q5G12: string Firm's response to Part1A Item 5G(12): Other. Allowed values: Y = yes, N = no. Q5G12Oth: string Firm's response to Part1A Item 5G(12) Other (specify). Item5H: object Information About Advisory Business - If you provide financial planning services, to how many clients did you provide these services during your last fiscal year? This maps to Form ADV - Item 5 - Q.H Q5H: string Firm's response to Part1A Item 5H-If you provide financial planning services, to how many clients did you provide these services during your last fiscal year. Q5HMT500: integer Firm's response to Part1A Item 5H-If more than 500, how many (round to the nearest 500). Item5I: object Information About Advisory Business - wrap fee program. This maps to Form ADV - Item 5 - Q.I Q5I1: string Firm's response to Part1A Item 5I(1): sponsor the wrap fee program. Allowed values: Y = yes, N = no. Q5I2A: integer Firm's response to Part1A Item 5I(2)(a) - amount of your regulatory assets under management attributable to acting as sponsor to a wrap fee program Q5I2B: integer Firm's response to Part1A Item 5I(2)(b) - amount of your regulatory assets under management attributable to acting as portfolio manager for a wrap fee program Q5I2C: integer Firm's response to Part1A Item 5I(2)(c) - amount of your regulatory assets under management attributable to acting as sponsor to and portfolio manager for the same wrap fee program Item5J: object Information About Advisory Business - In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments? This maps to Form ADV - Item 5 - Q.J Q5J1: string Firm's response to Part1A Item 5J-In response to Item 4.B. of Part 2A of Form ADV, do you indicate that you provide investment advice only with respect to limited types of investments. Allowed values: Y = yes, N = no. Q5J2: string Firm's response to Part1A Item 5J(2): Do you report client assets in Item 4.E. of Part 2A that are computed using a different method than the method used to compute your regulatory assets under management? Allowed values: Y = yes, N = no. Item5K: object Information About Advisory Business - Separately Managed Account Clients. This maps to Form ADV - Item 5 - Q.K Q5K1: string Firm's response to Part1A Item 5K(1): Do you have regulatory assets under management attributable to clients other than those listed in Item 5.D.(3)(d)-(f) (separately managed account clients). Allowed values: Y = yes, N = no. Q5K2: string Firm's response to Part1A Item 5K(2): Do you engage in borrowing transactions on behalf of any of the separately managed account clients that you advise Allowed values: Y = yes, N = no. Q5K3: string Firm's response to Part1A Item 5K(3): Do you engage in derivative transactions on behalf of any of the separately managed account clients that you advise Allowed values: Y = yes, N = no. Q5K4: string Firm's response to Part1A Item 5K(4): After subtracting the amounts in Item 5.D.(3)(d)-(f) above from your total regulatory assets under management, does any custodian hold ten percent or more of this remaining amount of regulatory assets under management Allowed values: Y = yes, N = no. Item5L: object Information About Advisory Business - Marketing Activities. This maps to Form ADV - Item 5 - Q.L Q5L1A: string Firm's response to Part1A Item 5L(1)(a): Do any of your advertisements include performance results. Allowed values: Y = yes, N = no. Q5L1B: string Firm's response to Part1A Item 5L(1)(b): Do any of your advertisements include a reference to specific investment advice provided by you (as that phrase is used in rule 206(4)-1(a)(5)) Allowed values: Y = yes, N = no. Q5L1C: string Firm's response to Part1A Item 5L(1)(c): Do any of your advertisements include testimonials (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Allowed values: Y = yes, N = no. Q5L1D: string Firm's response to Part1A Item 5L(1)(d): Do any of your advertisements include endorsements (other than those that satisfy rule 206(4)-1(b)(4)(ii)) Allowed values: Y = yes, N = no. Q5L1E: string Firm's response to Part1A Item 5L(1)(e): Do any of your advertisements include third-party ratings Allowed values: Y = yes, N = no. Q5L2: string Firm's response to Part1A Item 5L(2): Do you pay or otherwise provide cash or non-cash compensation, directly or indirectly, in connection with the use of testimonials, endorsements, or third-party ratings Allowed values: Y = yes, N = no. Q5L3: string Firm's response to Part1A Item 5L(3): Do any of your advertisements include hypothetical performance Allowed values: Y = yes, N = no. Q5L4: string Firm's response to Part1A Item 5L(4): Do any of your advertisements include predecessor performance Allowed values: Y = yes, N = no. Item6A: object Other Business Activities - You are actively engaged in business as a? This maps to Form ADV - Item 6 - Q.A Q6A1: string Firm's response to Part1A Item 6A(1): broker-dealer (registered or unregistered). Allowed values: Y = yes, N = no. Q6A2: string Firm's response to Part1A Item 6A(2): registered representative of a broker-dealer. Allowed values: Y = yes, N = no. Q6A3: string Firm's response to Part1A Item 6A(3): commodity pool operator or commodity trading advisor (whether registered or exempt from registration). Allowed values: Y = yes, N = no. Q6A4: string Firm's response to Part1A Item 6A(4): futures commission merchant. Allowed values: Y = yes, N = no. Q6A5: string Firm's response to Part1A Item 6A(5): real estate broker, dealer, or agent. Allowed values: Y = yes, N = no. Q6A6: string Firm's response to Part1A Item 6A(6): insurance broker or agent. Allowed values: Y = yes, N = no. Q6A7: string Firm's response to Part1A Item 6A(7): bank (including a separately identifiable department or division of a bank). Allowed values: Y = yes, N = no. Q6A8: string Firm's response to Part1A Item 6A(8): trust company. Allowed values: Y = yes, N = no. Q6A9: string Firm's response to Part1A Item 6A(9): registered municipal advisor. Allowed values: Y = yes, N = no. Q6A10: string Firm's response to Part1A Item 6A(10): registered security-based swap dealer. Allowed values: Y = yes, N = no. Q6A11: string Firm's response to Part1A Item 6A(11): major security-based swap participant. Allowed values: Y = yes, N = no. Q6A12: string Firm's response to Part1A Item 6A(12): accountant or accounting firm. Allowed values: Y = yes, N = no. Q6A13: string Firm's response to Part1A Item 6A(13): lawyer or law firm. Allowed values: Y = yes, N = no. Q6A14: string Firm's response to Part1A Item 6A(14): Other financial product salesperson Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q6A14Oth: string Firm's response to Part1A Item 6A(14): Other text when financial product salesperson is selected 'Y'. Item6B: object Other Business Activities. This maps to Form ADV - Item 6 - Q.B.1 to Q.B.3 Q6B1: string Firm's response to Part1A Item 6B(1): Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice). Allowed values: Y = yes, N = no. Q6B3: string Firm's response to Part1A Item 6B(3): Do you sell products or provide services other than investment advice to your advisory clients. Allowed values: Y = yes, N = no. Q6B2: string Firm's response to Part1A Item 6B(2): If yes, is this other business your primary business. Allowed values: Y = yes, N = no. Item7A: object Financial Industry Affiliations - This part of Item 7 requires you to provide information about you and your related persons, including foreign affiliates. Your related persons are all of your advisory affiliates and any person that is under common control with you. You have a related person that is a? This maps to Form ADV - Item 7 - Q.A Q7A1: string Firm's response to Part1A Item 7A(1): broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered). Allowed values: Y = yes, N = no. Q7A2: string Firm's response to Part1A Item 7A(2): other investment adviser (including financial planners). Allowed values: Y = yes, N = no. Q7A3: string Firm's response to Part1A Item 7A(3): registered municipal advisor. Q7A4: string Firm's response to Part1A Item 7A(4): registered security-based swap dealer. Q7A5: string Firm's response to Part1A Item 7A(5): major security-based swap participant. Q7A6: string Firm's response to Part1A Item 7A(6): commodity pool operator or commodity trading advisor (whether registered or exempt from registration). Allowed values: Y = yes, N = no. Q7A7: string Firm's response to Part1A Item 7A(7): futures commission merchant. Q7A8: string Firm's response to Part1A Item 7A(8): banking or thrift institution. Allowed values: Y = yes, N = no. Q7A9: string Firm's response to Part1A Item 7A(9): trust company. Q7A10: string Firm's response to Part1A Item 7A(10): accountant or accounting firm. Allowed values: Y = yes, N = no. Q7A11: string Firm's response to Part1A Item 7A(11): lawyer or law firm. Allowed values: Y = yes, N = no. Q7A12: string Firm's response to Part1A Item 7A(12): insurance company or agency. Allowed values: Y = yes, N = no. Q7A13: string Firm's response to Part1A Item 7A(13): pension consultant. Allowed values: Y = yes, N = no. Q7A14: string Firm's response to Part1A Item 7A(14): real estate broker or dealer. Allowed values: Y = yes, N = no. Q7A15: string Firm's response to Part1A Item 7A(15): sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles. Allowed values: Y = yes, N = no. Q7A16: string Firm's response to Part1A Item 7A(16): sponsor, general partner, managing member (or equivalent) of pooled investment vehicles. Allowed values: Y = yes, N = no. Item7B: object Financial Industry Affiliations - Are you an adviser to any private fund? This maps to Form ADV - Item 7 - Q.B Q7B: string Firm's response to Part1A Item 7B-Are you an adviser to any private fund. Allowed values: Y = yes, N = no. Item8A: object Participation or Interest in Client Transactions - Proprietary Interest in Client Transactions. This maps to Form ADV - Item 8 - Q.A.1 to Q.A.3 Q8A1: string Firm's response to Part1A Item 8A(1): buy securities for yourself from advisory clients, or sell securities you own to advisory clients (principal transactions). Allowed values: Y = yes, N = no. Q8A2: string Firm's response to Part1A Item 8A(2): buy or sell for yourself securities (other than shares of mutual funds) that you also recommend to advisory clients. Allowed values: Y = yes, N = no. Q8A3: string Firm's response to Part1A Item 8A(3): recommend securities (or other investment products) to advisory clients in which you or any related person has some other proprietary (ownership) interest (other than those mentioned in Items 8.A(1) or (2)). Allowed values: Y = yes, N = no. Item8B: object Participation or Interest in Client Transactions - Sales Interest in Client Transactions. This maps to Form ADV - Item 8 - Q.B.1 to Q.B.3 Q8B1: string Firm's response to Part1A Item 8B(1): as a broker-dealer or registered representative of a broker-dealer, execute securities trades for brokerage customers in which advisory client securities are sold to or bought from the brokerage customer (agency cross transactions). Allowed values: Y = yes, N = no. Q8B2: string Firm's response to Part1A Item 8B(2): recommend purchase of securities to advisory clients for which you or any related person serves as underwriter, general or managing partner, or purchaser representative. Allowed values: Y = yes, N = no. Q8B3: string Firm's response to Part1A Item 8B(3): recommend purchase or sale of securities to advisory clients for which you or any related person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer). Allowed values: Y = yes, N = no. Item8C: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.C.1 to Q.C.4 Q8C1: string Firm's response to Part1A Item 8C(1): securities to be bought or sold for a client's account. Allowed values: Y = yes, N = no. Q8C2: string Firm's response to Part1A Item 8C(2): amount of securities to be bought or sold for a client's account. Allowed values: Y = yes, N = no. Q8C3: string Firm's response to Part1A Item 8C(3): broker or dealer to be used for a purchase or sale of securities for a client's account. Allowed values: Y = yes, N = no. Q8C4: string Firm's response to Part1A Item 8C(4): commission rates to be paid to a broker or dealer for a client's securities transactions. Allowed values: Y = yes, N = no. Item8D: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.D Q8D: string Firm's response to Part1A Item 8D-If you answer "yes" to 8C.(3), are any of the brokers or dealers related persons. Allowed values: Y = yes, N = no. Item8E: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.E Q8E: string Firm's response to Part1A Item 8E -Do you or any related person recommend brokers or dealers to clients. Allowed values: Y = yes, N = no. Item8F: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.F Q8F: string Firm's response to Part1A Item 8F-If you answer "yes" to 8E, are any of the brokers or dealers related persons. Allowed values: Y = yes, N = no. Item8G: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.G.1 to Q.G.2 Q8G1: string Firm's response to Part1A Item 8G(1): Do you or any related person receive research or other products or services other than execution from a broker-dealer or a third party ("soft dollar benefits") in connection with client securities transactions. Allowed values: Y = yes, N = no. Q8G2: string Firm's response to Part1A Item 8G(2): If "yes" to G.(1), are all the "soft dollar benefits" you or any related persons receive eligible "research or brokerage services" under section 28(e) of the Securities Exchange Act of 1934. Allowed values: Y = yes, N = no. Item8H: object Participation or Interest in Client Transactions- Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.H Q8H: string Firm's response to Part1A Item 8H-Do you or any related person, directly or indirectly, compensate any person for client referrals in 10/2012 version Allowed values: Y = yes, N = no. Q8H1: string Firm's response to Part1A Item 8H(1) (new revision) Q8H2: string Firm's response to Part1A Item 8H(2) (new revision) Item8I: object Participation or Interest in Client Transactions - Investment or Brokerage Discretion. This maps to Form ADV - Item 8 - Q.I Q8I: string Firm's response to Part1A Item 8I-Do you or any related person, directly or indirectly, receive compensation from any person for client referrals. Allowed values: Y = yes, N = no. Item9A: object Custody. This maps to Form ADV - Item 9 - Q.A.1 and Q.A.2 Q9A1A: string Firm's response to Part1A Item 9A(1)(a): cash or bank accounts. Allowed values: Y = yes, N = no. Q9A1B: string Firm's response to Part1A Item 9A(1)(b): securities. Allowed values: Y = yes, N = no. Q9A2A: integer Firm's response to Part1A Item 9A(2)(a): U.S. Dollar Amount. Q9A2B: integer Firm's response to Part1A Item 9A(2)(b): Total Number of Clients. Item9B: object Custody. This maps to Form ADV - Item 9 - Q.B.1 and Q.B.2 Q9B1A: string Firm's response to Part1A Item 9B(1)(a): cash or bank accounts. Allowed values: Y = yes, N = no. Q9B1B: string Firm's response to Part1A Item 9B(1)(b): securities. Allowed values: Y = yes, N = no. Q9B2A: integer Firm's response to Part1A Item 9B(2)(a): U.S. Dollar Amount. Q9B2B: integer Firm's response to Part1A Item 9B(2)(b): Total Number of Clients. Item9C: object Custody. This maps to Form ADV - Item 9 - Q.C.1 to Q.C.4 Q9C1: string Firm's response to Part1A Item 9C(1): A qualified custodian(s) sends account statements at least quarterly to the investors in the pooled investment vehicle(s) you manage. Q9C2: string Firm's response to Part1A Item 9C(2): An independent public accountant audits annually the pooled investment vehicle(s) that you manage and the audited financial statements are distributed to the investors in the pools. Q9C3: string Firm's response to Part1A Item 9C(3): An independent public accountant conducts an annual surprise examination of client funds and securities. Q9C4: string Firm's response to Part1A Item 9C(4): An independent public accountant prepares an internal control report with respect to custodial services when you or your related persons are qualified custodians for client funds and securities. Item9D: object Custody. This maps to Form ADV - Item 9 - Q.D.1 and Q.D.2 Q9D1: string Firm's response to Part1A Item 9D(1): you act as a qualified custodian. Allowed values: Y = yes, N = no. Q9D2: string Firm's response to Part1A Item 9D(2): Do you or your related persons act as qualified custodians for your clients in connection with advisory services you provide to clients your related persons act as qualified custodians. Allowed values: Y = yes, N = no. Item9E: object Custody. This maps to Form ADV - Item 9 - Q.E Q9E: string Firm's response to Part1A Item 9E-If you are filing your annual updating amendment and you were subject to a surprise examination by an independent public accountant during your last fiscal year, provide the date (YYYY-MM) the examination commenced. Item9F: object Custody. This maps to Form ADV - Item 9 - Q.F Q9F: integer Firm's response to Part1A Item 9F-If you or your related persons have custody of client funds or securities, how many persons, including, but not limited to, you and your related persons, act as qualified custodians for your clients in connection with advisory services you provide to clients. Item10A: object Control Persons details. This maps to Form ADV - Item 10 - Q.A and Q.B Q10A: string Firm's response to Part1A Item 10A -Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies. Allowed values: Y = yes, N = no. Item11: object Disclosure Information. This maps to Form ADV - Item 11 Q11: string Firm's response to Part1A Item 11-Do any of the events below involve you or any of your supervised persons. Allowed values: Y = yes, N = no. Item11A: object Disclosure Information - Criminal Action DRP. This maps to Form ADV - Item 11 - Q.A Q11A1: string Firm's response to Part1A Item 11A(1): been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony. Allowed values: Y = yes, N = no. Q11A2: string Firm's response to Part1A Item 11A(2): been charged with any felony. Allowed values: Y = yes, N = no. Item11B: object Disclosure Information - advisory affiliate. This maps to Form ADV - Item 11 - Q.B Q11B1: string Firm's response to Part1A Item 11B(1): been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses. Allowed values: Y = yes, N = no. Q11B2: string Firm's response to Part1A Item 11B(2): been charged with a misdemeanor listed in 11.B(1). Allowed values: Y = yes, N = no. Item11C: object Disclosure Information - Regulatory Action DRP - Has the SEC or the Commodity Futures Trading Commission (CFTC) ever. This maps to Form ADV - Item 11 - Q.C Q11C1: string Firm's response to Part1A Item 11C(1): found you or any advisory affiliate to have made a false statement or omission. Allowed values: Y = yes, N = no. Q11C2: string Firm's response to Part1A Item 11C(2): found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes. Allowed values: Y = yes, N = no. Q11C3: string Firm's response to Part1A Item 11C(3): found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. Q11C4: string Firm's response to Part1A Item 11C(4): entered an order against you or any advisory affiliate in connection with investment-related activity. Allowed values: Y = yes, N = no. Q11C5: string Firm's response to Part1A Item 11C(5): imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity. Allowed values: Y = yes, N = no. Item11D: object Disclosure Information - Regulatory Action DRP - Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority. This maps to Form ADV - Item 11 - Q.D Q11D1: string Firm's response to Part1A Item 11D(1): ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical. Allowed values: Y = yes, N = no. Q11D2: string Firm's response to Part1A Item 11D(2): ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes. Allowed values: Y = yes, N = no. Q11D3: string Firm's response to Part1A Item 11D(3): ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. Q11D4: string Firm's response to Part1A Item 11D(4): in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity. Allowed values: Y = yes, N = no. Q11D5: string Firm's response to Item 11D(5): ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity. Allowed values: Y = yes, N = no. Item11E: object Disclosure Information - Regulatory Action DRP - Has any self-regulatory organization or commodities exchange ever. This maps to Form ADV - Item 11 - Q.E Q11E1: string Firm's response to Part1A Item 11E(1): found you or any advisory affiliate to have made a false statement or omission. Allowed values: Y = yes, N = no. Q11E2: string Firm's response to Item 11E(2): found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC). Allowed values: Y = yes, N = no. Q11E3: string Firm's response to Part1A Item 11E(3): found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted. Allowed values: Y = yes, N = no. Q11E4: string Firm's response to Part1A Item 11E(4): disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities. Allowed values: Y = yes, N = no. Item11F: object Disclosure Information - Regulatory Action DRP - Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended. This maps to Form ADV - Item 11 - Q.F Q11F: string Firm's response to Part1A Item 11F-Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended. Allowed values: Y = yes, N = no. Item11G: object Disclosure Information - Regulatory Action DRP - advisory affiliate. This maps to Form ADV - Item 11 - Q.G Q11G: string Firm's response to Part1A Item 11G-Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.. Allowed values: Y = yes, N = no. Item11H: object Disclosure Information - Civil Judicial Action DRP.This maps to Form ADV - Item 11 - Q.H Q11G: string Firm's response to Part1A Item 11G-Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.. Allowed values: Y = yes, N = no. Q11H1A: string Firm's response to Part1A Item 11H(1)(a): the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity. Allowed values: Y = yes, N = no. Q11H1B: string Firm's response to Part1A Item 11H(1)(b): ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations. Allowed values: Y = yes, N = no. Q11H1C: string Firm's response to Part1A Item 11H(1)(c): ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority. Allowed values: Y = yes, N = no. Q11H2: string Firm's response to Part1A Item 11H(2): Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1). Allowed values: Y = yes, N = no. Part1B: optional object Part 1B details (only for state registered advisers). Item2: object Firm's responses to Part 1B Item 2, reported by state registered advisers. Q1B2B1: string Firm's most recent response to Part 1B Item2B(1). Bond/Capital Information - Name of Issuing Insurance Company. Q1B2B2: string Firm's most recent response to Part 1B Item2B(2). Bond/Capital Information - Amount of Bond. Q1B2B4: string Firm's most recent response to Part 1B Item2B(4). Bond/Capital Information - If required by your home state, are you in compliance with your home state's minimum capital requirements. Allowed values: Y = yes, N = no. DsclrQstns: object Part 1B - Disclosure Questions. This maps to Form ADV - Part1B - Q.C to Q.F Q1B2C: string Firm's most recent response to Part 1B Item2C. Has a bonding company ever denied, paid out on, or revoked a bond for you any advisory affiliate, or any management person. Allowed values: Y = yes, N = no. Q1B2D: string Firm's most recent response to Part 1B Item2D. Are there any unsatisfied judgments or liens against you, any advisory affiliate, or any management person. Allowed values: Y = yes, N = no. Q1B2E1: string Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (1) any investment or an investment-related business or activity. Allowed values: Y = yes, N = no. Q1B2E2: string Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (2) fraud, false statement, or omission. Allowed values: Y = yes, N = no. Q1B2E3: string Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (3) theft, embezzlement, or other wrongful taking of property. Allowed values: Y = yes, N = no. Q1B2E4: string Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (4) bribery, forgery, counterfeiting, or extortion. Allowed values: Y = yes, N = no. Q1B2E5: string Firm's most recent response to Part 1B Item2E. Are you, any advisory affiliate, or any management person currently the subject of, or have you, any advisory affiliate, or any management person been the subject of, an arbitration claim alleging damages in excess of $2,500, involving any of the following: (5) dishonest, unfair, or unethical practices. Allowed values: Y = yes, N = no. Q1B2F1: string Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (1) an investment or investment-related business or activity. Allowed values: Y = yes, N = no. Q1B2F2: string Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (2) fraud, false statement, or omission. Allowed values: Y = yes, N = no. Q1B2F3: string Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (3) theft, embezzlement, or other wrongful taking of property. Allowed values: Y = yes, N = no. Q1B2F4: string Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (4) bribery, forgery, counterfeiting, or extortion. Allowed values: Y = yes, N = no. Q1B2F5: string Firm's most recent response to Part 1B Item2F. Are you, any advisory affiliate, or any management person currently subject to, or have you, any advisory affiliate, or any management person been found liable in, a civil, self-regulatory organization, or administrative proceeding involving any of the following: (5) dishonest, unfair, or unethical practices. Allowed values: Y = yes, N = no. ItemG: object Part 1B - Other Business Activities. This maps to Form ADV - Part1B - Q.G.1 to Q.G.2 Q1BG1TaxPrprr: string Firm's most recent response to Part 1B Item2G. Other Business Activities (1) Are you actively engaged in business as a(n): Tax preparer Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q1BG1IssueScrts: string Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Issuer of securities Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q1BG1XcldPoolInvmt: string Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q1BG1PoolInvmt: string Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q1BG1ReAdvsr: string Firm's most recent response to Part 1B Item2G. Business Activities (1) Are you actively engaged in business as a(n): Real estate adviser Display a 'Y' when the checkbox is selected. Display an 'N' when the checkbox is not selected. Q1B2G2: string Firm's most recent response to Part 1B Item2G(2) If you any advisory affiliate, or any management person are actively engaged in any business other than those listed in Item 6.A. of Part 1 A or Item 2.G(1) of Part 1B, described the business and the approximate amount of time spend on that business. ItemH: object Part 1B - Investments made. This maps to Form ADV - Part1B - Q.H Q1B2HScrtsNvsmt: string Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: Securities Investments. Q1B2HScrtsNvsmtAm: integer Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: If securities investments are over $5,000,000, how much. Q1B2HNScrtsNvsmt: string Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: Non-Securities Investments. Q1B2HNScrtsNvsmtAm: integer Firm's most recent response to Part 1B Item2H. If you provide financial planning services, the investments made based on those services at the end of your last fiscal year totaled: If non-securities investments are over $5,000,000, how much. ItemI: object Part 1B - Custody. This maps to Form ADV - Part1B - Q.I.1 to Q.I.3 Q1B2I1: string Firm's most recent response to Part 1B Item 2I. Custody (1) Do you withdraw advisory fees directly from your clients' accounts. Allowed values: Y = yes, N = no. Q1B2I1A: string Firm's most recent response to Part 1B Item 2I(1)(a) Do you send a copy of your invoice to the custodian or trustee at the same time that you send a copy to the client. Allowed values: Y = yes, N = no. Q1B2I1B: string Firm's most recent response to Part 1B Item 2I(1)(b) Does the custodian send quarterly statements to your clients showing all disbursements for the custodian account, including the amount of the advisory fees. Allowed values: Y = yes, N = no. Q1B2I1C: string Firm's most recent response to Part 1B Item 2I(1)(c) Do your clients provide written authorization permitting you to be paid directly for their accounts held by the custodian or trustee. Allowed values: Y = yes, N = no. Q1B2I2Ai: string Firm's most recent response to Part 1B Item 2I(2) (a)(i) Do you or a related person act as general partner, managing member, or person serving in a similar capacity, for any pooled investment vehicle for which you are the adviser to the pooled investment vehicle, or for which you are the adviser to one or more of the investors in the pooled investment vehicle? Allowed values: Y = yes, N = no. Q1B2I2AiiAtrny: string Firm's most recent response to Part 1B Item 2I(2)(a)(ii) As the general partner , managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. Q1B2I2AiiCpa: string Firm's most recent response to Part 1B Item 2I(2)(a) (ii) As the general partner, managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. Q1B2I2AiiOth: string Firm's most recent response to Part 1B Item 2I(2)(a) (ii) As the general partner, managing member, or person serving in a similar capacity, have you or a related person engaged any of the following to provide authority permitting each direct payment or any transfer of funds or securities from the account of the pooled investment vehicle? Allowed values: Y = yes, N = no. Q1B2I2AiiOthTx: string Independent party description Q1B2I2B: string Firm's most recent response to Part 1B Item 2I(2)(b) Do you or a related person act as investment adviser and a trustee for any trust, or act as a trustee for any trust in which your advisory clients are beneficiaries of the trust? Q1B2I3: string Firm's most recent response to Part 1B Item 2I(3) Do you require prepayment of fees of more than $500 per client and for six months or more in advance. Allowed values: Y = yes, N = no. ItemJ: object Part 1B - sole proprietorship information. This maps to Form ADV - Part1B - Q.J.1 to Q.J.3 Q1BJ1A: string Firm's most recent response to Part 1B Item 2J(1)(a) Have you passed, on or after January 1, 2000, the Series 65 examination. Allowed values: Y = yes, N = no. Q1BJ1B: string Firm's most recent response to Part 1B Item 2J(1)(b) Have you passed, on or after January 1, 2000, the Series 66 examination and also passed, at any time, the Series 7 examination. Allowed values: Y = yes, N = no. Q1BJ2A: string Firm's most recent response to Part 1B Item 2J(2)(a) Do you have any investment advisory professional designation. Allowed values: Y = yes, N = no. Q1BJ2BCfp: string Firm's most recent response to Part 1B Item 2J(2)(b)(1) Certified Financial Planner ("CFP"). Allowed values: Y = yes, N = no. Q1BJ2BCfa: string Firm's most recent response to Part 1B Item 2J(2)(b)(2) Chartered Financial Analyst ("CFA"). Allowed values: Y = yes, N = no. Q1BJ2BChfc: string Firm's most recent response to Part 1B Item 2J(2)(b)(3) Chartered Financial Consultant ("ChFC"). Allowed values: Y = yes, N = no. Q1BJ2BCic: string Firm's most recent response to Part 1B Item 2J(2)(b)(4) Chartered Investment Counselor ("CIC"). Allowed values: Y = yes, N = no. Q1BJ2BPfs: string Firm's most recent response to Part 1B Item 2J(2)(b)(5) Personal Financial Specialist ("PFS"). Allowed values: Y = yes, N = no. Q1BJ2BNone: string Firm's most recent response to Part 1B Item 2J(2)(b)(6) None of the above. Allowed values: Y = yes, N = no. ItemK: object Part 1B - other than sole proprietorship information. This maps to Form ADV - Part1B - Q.K.1 to Q.K.2 Q1B2K1: string Firm's most recent response to Part 1B Item 2.K(1) If other than a sole proprietor, indicate the date you obtained your legal status: Date of formation: id: integer Identifier of the adviser record. On the firm endpoint it holds the CRD number of the firm and can be used in sort. ## Status codes | | | | --- | --- | | `200` | Success. The response holds total and filings. | | `400` | The request body could not be parsed, the Lucene expression in query is malformed, or size is greater than 50. | | `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/firm ```json { "query": "Info.FirmCrdNb:361", "from": "0", "size": "10", "sort": [{ "Info.FirmCrdNb": { "order": "desc" } }] } ``` ```python from sec_api import FormAdvApi formAdvApi = FormAdvApi("YOUR_API_KEY") response = formAdvApi.get_firms({ "query": "Info.FirmCrdNb:361", "from": "0", "size": "10", "sort": [{"Info.FirmCrdNb": {"order": "desc"}}], }) print(response["filings"]) ``` ```javascript import { formAdvApi } from "sec-api"; formAdvApi.setApiKey("YOUR_API_KEY"); const response = await formAdvApi.getFirms({ query: "Info.FirmCrdNb:361", from: "0", size: "10", sort: [{ "Info.FirmCrdNb": { order: "desc" } }], }); ``` ```bash curl -X POST https://api.sec-api.io/form-adv/firm \ -H "Authorization: YOUR_API_KEY" \ -H "Content-Type: application/json" \ -d '{ "query": "Info.FirmCrdNb:361", "from": "0", "size": "10", "sort": [{ "Info.FirmCrdNb": { "order": "desc" } }] }' ``` ## Response example 200 OK · application/json ```json { "total": { "value": 1, "relation": "eq" }, "filings": [ { "Info": { "SECRgnCD": "NYRO", "FirmCrdNb": 361, "SECNb": "801-16048", "BusNm": "GOLDMAN SACHS & CO. LLC", "LegalNm": "GOLDMAN SACHS & CO. LLC", "UmbrRgstn": "N" }, "MainAddr": { "Strt1": "200 WEST STREET", "City": "NEW YORK", "State": "NY", "Cntry": "United States", "PostlCd": "10282", "PhNb": "212-902-1000" }, "MailingAddr": {}, "Rgstn": [ { "FirmType": "Registered", "St": "APPROVED", "Dt": "1981-05-13" } ], "NoticeFiled": { "States": [ { "RgltrCd": "AL", "St": "FILED", "Dt": "1992-10-28" }, { "RgltrCd": "AK", "St": "FILED", "Dt": "1997-11-21" }, { "RgltrCd": "AZ", "St": "FILED", "Dt": "1997-11-26" } ] }, "Filing": [ { "Dt": "2026-03-31", "FormVrsn": "10/2021" } ], "FormInfo": { "Part1A": { "Item1": { "WebAddrs": { "WebAddrs": [ "https://www.linkedin.com/showcase/goldman-sachs--private-wealth-management", "https://privatewealth.goldmansachs.com/us/en/home", "HTTP://X.COM/GOLDMANSACHS", "https://www.instagram.com/goldmansachsprivatewealth/?hl=en", "HTTP://WWW.GOLDMANSACHS.COM", "HTTP://FACEBOOK.COM/GOLDMANSACHS", "HTTPS://WWW.LINKEDIN.COM/COMPANY/GOLDMAN-SACHS", "HTTP://WWW.GS.COM", "https://www.instagram.com/goldmansachs/" ], "WebAddr": "https://www.instagram.com/goldmansachs/" }, "Q1F5": 18, "Q1I": "Y", "Q1M": "Y", "Q1N": "N", "Q1O": "Y", "Q1ODesc": "More than $50 billion", "Q1P": "FOR8UP27PHTHYVLBNG30" }, "Item2A": { "Q2A1": "Y", "Q2A2": "N", "Q2A4": "N", "Q2A5": "N", "Q2A6": "N", "Q2A7": "N", "Q2A8": "N", "Q2A9": "N", "Q2A10": "N", "Q2A11": "N", "Q2A12": "N", "Q2A13": "N" }, "Item2B": {}, "Item3A": { "OrgFormNm": "Limited Liability Company" }, "Item3B": { "Q3B": "DECEMBER" }, "Item3C": { "StateCD": "NY", "CntryNm": "United States" }, "Item5A": { "TtlEmp": 2268 }, "Item5B": { "Q5B1": 1765, "Q5B2": 1698, "Q5B3": 0, "Q5B4": 0, "Q5B5": 60, "Q5B6": 1 }, "Item5C": { "Q5C1": "2355", "Q5C2": 2 }, "Item5D": { "Q5DA1": 0, "Q5DA3": 0, "Q5DB1": 29104, "Q5DB3": 50962159253, "Q5DC1": 0, "Q5DC3": 0, "Q5DD1": 0, "Q5DD3": 0, "Q5DE1": 0, "Q5DE3": 0, "Q5DF1": 0, "Q5DF3": 0, "Q5DG1": 9, "Q5DG3": 4729043, "Q5DH1": 1040, "Q5DH3": 17527757435, "Q5DI1": 1, "Q5DI2": "Fewer than 5 clients", "Q5DI3": 5787207, "Q5DJ1": 0, "Q5DJ3": 0, "Q5DK1": 28, "Q5DK3": 288850139, "Q5DL1": 0, "Q5DL3": 0, "Q5DM1": 506, "Q5DM3": 16937232904, "Q5DN1": 15580, "Q5DN3": 47917712945, "Q5DN3Oth": "GS TRUST COMPANY, INDIAN TRIBES" }, "Item5E": { "Q5E1": "Y", "Q5E2": "N", "Q5E3": "N", "Q5E4": "Y", "Q5E5": "Y", "Q5E6": "Y", "Q5E7": "Y", "Q5E7Oth": "EXECUTION CHARGES, CUSTODY, MANAGEMENT FEE" }, "Item5F": { "Q5F1": "Y", "Q5F2A": 133354336653, "Q5F2B": 289892273, "Q5F2C": 133644228926, "Q5F2D": 46265, "Q5F2E": 4, "Q5F2F": 46269, "Q5F3": 9078887461 }, "Item5G": { "Q5G1": "Y", "Q5G2": "Y", "Q5G3": "N", "Q5G4": "Y", "Q5G5": "Y", "Q5G6": "N", "Q5G7": "Y", "Q5G8": "Y", "Q5G9": "N", "Q5G10": "N", "Q5G11": "Y", "Q5G12": "N" }, "Item5H": { "Q5H": "1-10" }, "Item5I": { "Q5I1": "Y", "Q5I2A": 0, "Q5I2B": 0, "Q5I2C": 0 }, "Item5J": { "Q5J1": "Y", "Q5J2": "Y" }, "Item5K": { "Q5K1": "Y", "Q5K2": "Y", "Q5K3": "Y", "Q5K4": "Y" }, "Item5L": { "Q5L1A": "Y", "Q5L1B": "Y", "Q5L1C": "Y", "Q5L1D": "N", "Q5L1E": "Y", "Q5L2": "Y", "Q5L3": "Y", "Q5L4": "N" }, "Item6A": { "Q6A1": "Y", "Q6A2": "N", "Q6A3": "Y", "Q6A4": "Y", "Q6A5": "N", "Q6A6": "N", "Q6A7": "N", "Q6A8": "N", "Q6A9": "Y", "Q6A10": "Y", "Q6A11": "N", "Q6A12": "N", "Q6A13": "N", "Q6A14": "N" }, "Item6B": { "Q6B1": "Y", "Q6B2": "N", "Q6B3": "Y" }, "Item7A": { "Q7A1": "Y", "Q7A2": "Y", "Q7A3": "N", "Q7A4": "Y", "Q7A5": "N", "Q7A6": "Y", "Q7A7": "Y", "Q7A8": "Y", "Q7A9": "Y", "Q7A10": "N", "Q7A11": "N", "Q7A12": "Y", "Q7A13": "Y", "Q7A14": "N", "Q7A15": "N", "Q7A16": "Y" }, "Item7B": { "Q7B": "N" }, "Item8A": { "Q8A1": "Y", "Q8A2": "Y", "Q8A3": "Y" }, "Item8B": { "Q8B1": "Y", "Q8B2": "Y", "Q8B3": "Y" }, "Item8C": { "Q8C1": "Y", "Q8C2": "Y", "Q8C3": "Y", "Q8C4": "Y" }, "Item8D": { "Q8D": "Y" }, "Item8E": { "Q8E": "Y" }, "Item8F": { "Q8F": "Y" }, "Item8G": { "Q8G1": "Y", "Q8G2": "Y" }, "Item8H": { "Q8H1": "Y", "Q8H2": "Y" }, "Item8I": { "Q8I": "N" }, "Item9A": { "Q9A1A": "Y", "Q9A1B": "Y", "Q9A2A": 132356397074, "Q9A2B": 46194 }, "Item9B": { "Q9B1A": "N", "Q9B1B": "N", "Q9B2A": 0, "Q9B2B": 0 }, "Item9C": { "Q9C1": "Y", "Q9C2": "Y", "Q9C3": "Y", "Q9C4": "Y" }, "Item9D": { "Q9D1": "Y", "Q9D2": "Y" }, "Item9E": { "Q9E": "2025-07" }, "Item9F": { "Q9F": 91 }, "Item10A": { "Q10A": "N" }, "Item11": { "Q11": "Y" }, "Item11A": { "Q11A1": "N", "Q11A2": "Y" }, "Item11B": { "Q11B1": "Y", "Q11B2": "Y" }, "Item11C": { "Q11C1": "Y", "Q11C2": "Y", "Q11C3": "N", "Q11C4": "Y", "Q11C5": "Y" }, "Item11D": { "Q11D1": "Y", "Q11D2": "Y", "Q11D3": "N", "Q11D4": "Y", "Q11D5": "Y" }, "Item11E": { "Q11E1": "Y", "Q11E2": "Y", "Q11E3": "N", "Q11E4": "N" }, "Item11F": { "Q11F": "Y" }, "Item11G": { "Q11G": "Y" }, "Item11H": { "Q11H1A": "Y", "Q11H1B": "Y", "Q11H1C": "Y", "Q11H2": "Y" } } }, "id": 361 } ] } ```