Investment Adviser Data & Form ADV Filing API
The Form ADV API provides access to historical and up-to-date Form ADV filings of all investment adviser firms registered with the SEC and state securities regulators, including individual investment adviser representatives and Exempt Reporting Advisers (ERAs). Users can search for one or multiple firms or individuals using various parameters such as adviser CRD, CIK, name, business address, LEI, assets under management, and more. All Adviser Public Disclosure (ADV) filing properties are fully searchable.
Nine individual endpoints are available for accessing various aspects of Form ADV filings. The Firm Search and Individual Search endpoints return the most up-to-date ADV filings matching a specific search expression. The Schedule A, B, and D endpoints provide access to direct and indirect owners, financial industry affiliations, and private funds data disclosed in their respective sections of Form ADV. The Brochure endpoint lists information about all brochures submitted by an advisor in Part 2 of Form ADV.
Example of a Form ADV from a firm advisor
1
{
2
"id": 38,
3
"Info": {
4
"SECRgnCD": "SFRO",
5
"FirmCrdNb": 38,
6
"SECNb": "801-57838",
7
"BusNm": "AMERICAN INVESTORS CO",
8
"LegalNm": "L.S.Y., INC",
9
"UmbrRgstn": "N"
10
},
11
"MainAddr": {
12
"Strt1": "12667 ALCOSTA BLVD., SUITE 160",
13
"City": "SAN RAMON",
14
"State": "CA",
15
"Cntry": "United States",
16
"PostlCd": "94583",
17
"PhNb": "925-866-2882",
18
"FaxNb": "925-866-8989"
19
},
20
"MailingAddr": {
21
"Strt1": "PO BOX 1307",
22
"City": "SAN RAMON",
23
"State": "CA",
24
"Cntry": "United States",
25
"PostlCd": "94583"
26
},
27
"Rgstn": [
28
{
29
"FirmType": "Registered",
30
"St": "APPROVED",
31
"Dt": "2000-08-22"
32
}
33
],
34
"NoticeFiled": {
35
"States": [
36
{
37
"RgltrCd": "AZ",
38
"St": "FILED",
39
"Dt": "2004-07-19"
40
},
41
// ...
42
]
43
},
44
"Filing": [
45
{
46
"Dt": "2024-06-26",
47
"FormVrsn": "10/2021"
48
}
49
],
50
"FormInfo": {
51
"Part1A": {
52
"Item1": {
53
"WebAddrs": {
54
"WebAddrs": [
55
"HTTPS://WWW.AMERICANINVESTORSCO.COM"
56
],
57
"WebAddr": "HTTPS://WWW.AMERICANINVESTORSCO.COM"
58
},
59
"Q1F5": 13,
60
"Q1I": "Y",
61
"Q1M": "N",
62
"Q1N": "N",
63
"Q1O": "N"
64
},
65
"Item2A": {
66
"Q2A1": "Y",
67
"Q2A2": "N",
68
"Q2A4": "N",
69
"Q2A5": "N",
70
"Q2A6": "N",
71
"Q2A7": "N",
72
"Q2A8": "N",
73
"Q2A9": "N",
74
"Q2A10": "N",
75
"Q2A11": "N",
76
"Q2A12": "N",
77
"Q2A13": "N"
78
},
79
"Item2B": {},
80
"Item3A": {
81
"OrgFormNm": "Corporation"
82
},
83
"Item3B": {
84
"Q3B": "MARCH"
85
},
86
"Item3C": {
87
"StateCD": "CA",
88
"CntryNm": "United States"
89
},
90
"Item5A": {
91
"TtlEmp": 32
92
},
93
"Item5B": {
94
"Q5B1": 32,
95
"Q5B2": 32,
96
"Q5B3": 30,
97
"Q5B4": 4,
98
"Q5B5": 20,
99
"Q5B6": 1
100
},
101
"Item5C": {
102
"Q5C1": "18",
103
"Q5C2": 0
104
},
105
"Item5D": {
106
"Q5DA1": 668,
107
"Q5DA3": 168441864,
108
"Q5DB1": 221,
109
"Q5DB3": 420159827,
110
"Q5DC2": "Fewer than 5 clients",
111
"Q5DD1": 0,
112
"Q5DE1": 0,
113
"Q5DF1": 0,
114
"Q5DG2": "Fewer than 5 clients",
115
"Q5DG3": 21969625,
116
"Q5DH1": 5,
117
"Q5DH3": 1991488,
118
"Q5DI2": "Fewer than 5 clients",
119
"Q5DJ2": "Fewer than 5 clients",
120
"Q5DK2": "Fewer than 5 clients",
121
"Q5DL2": "Fewer than 5 clients",
122
"Q5DM1": 7,
123
"Q5DM3": 4229978,
124
"Q5DN2": "Fewer than 5 clients",
125
"Q5DN3": 108808,
126
"Q5DN3Oth": "ASSOCIATIONS"
127
},
128
"Item5E": {
129
"Q5E1": "Y",
130
"Q5E2": "Y",
131
"Q5E3": "N",
132
"Q5E4": "Y",
133
"Q5E5": "Y",
134
"Q5E6": "N",
135
"Q5E7": "N"
136
},
137
"Item5F": {
138
"Q5F1": "Y",
139
"Q5F2A": 574424721,
140
"Q5F2B": 42476869,
141
"Q5F2C": 616901590,
142
"Q5F2D": 1558,
143
"Q5F2E": 257,
144
"Q5F2F": 1815,
145
"Q5F3": 1436166
146
},
147
"Item5G": {
148
"Q5G1": "Y",
149
"Q5G2": "Y",
150
"Q5G3": "N",
151
"Q5G4": "N",
152
"Q5G5": "Y",
153
"Q5G6": "N",
154
"Q5G7": "Y",
155
"Q5G8": "N",
156
"Q5G9": "N",
157
"Q5G10": "N",
158
"Q5G11": "N",
159
"Q5G12": "N"
160
},
161
"Item5H": {
162
"Q5H": "0"
163
},
164
"Item5I": {
165
"Q5I1": "N"
166
},
167
"Item5J": {
168
"Q5J1": "N",
169
"Q5J2": "N"
170
},
171
"Item5K": {
172
"Q5K1": "Y",
173
"Q5K2": "N",
174
"Q5K3": "Y",
175
"Q5K4": "Y"
176
},
177
"Item5L": {
178
"Q5L1A": "N",
179
"Q5L1B": "N",
180
"Q5L1C": "N",
181
"Q5L1D": "N",
182
"Q5L1E": "N",
183
"Q5L2": "N",
184
"Q5L3": "N",
185
"Q5L4": "N"
186
},
187
"Item6A": {
188
"Q6A1": "Y",
189
"Q6A2": "N",
190
"Q6A3": "N",
191
"Q6A4": "N",
192
"Q6A5": "N",
193
"Q6A6": "Y",
194
"Q6A7": "N",
195
"Q6A8": "N",
196
"Q6A9": "N",
197
"Q6A10": "N",
198
"Q6A11": "N",
199
"Q6A12": "N",
200
"Q6A13": "N",
201
"Q6A14": "N"
202
},
203
"Item6B": {
204
"Q6B1": "N",
205
"Q6B3": "Y"
206
},
207
"Item7A": {
208
"Q7A1": "Y",
209
"Q7A2": "Y",
210
"Q7A3": "N",
211
"Q7A4": "N",
212
"Q7A5": "N",
213
"Q7A6": "N",
214
"Q7A7": "N",
215
"Q7A8": "N",
216
"Q7A9": "N",
217
"Q7A10": "Y",
218
"Q7A11": "Y",
219
"Q7A12": "Y",
220
"Q7A13": "N",
221
"Q7A14": "Y",
222
"Q7A15": "Y",
223
"Q7A16": "N"
224
},
225
"Item7B": {
226
"Q7B": "N"
227
},
228
"Item8A": {
229
"Q8A1": "N",
230
"Q8A2": "Y",
231
"Q8A3": "N"
232
},
233
"Item8B": {
234
"Q8B1": "N",
235
"Q8B2": "N",
236
"Q8B3": "N"
237
},
238
"Item8C": {
239
"Q8C1": "Y",
240
"Q8C2": "Y",
241
"Q8C3": "N",
242
"Q8C4": "N"
243
},
244
"Item8D": {},
245
"Item8E": {
246
"Q8E": "Y"
247
},
248
"Item8F": {
249
"Q8F": "Y"
250
},
251
"Item8G": {
252
"Q8G1": "N"
253
},
254
"Item8H": {
255
"Q8H1": "N",
256
"Q8H2": "N"
257
},
258
"Item8I": {
259
"Q8I": "Y"
260
},
261
"Item9A": {
262
"Q9A1A": "N",
263
"Q9A1B": "N"
264
},
265
"Item9B": {
266
"Q9B1A": "N",
267
"Q9B1B": "N"
268
},
269
"Item9C": {
270
"Q9C1": "N",
271
"Q9C2": "N",
272
"Q9C3": "N",
273
"Q9C4": "N"
274
},
275
"Item9D": {
276
"Q9D1": "N",
277
"Q9D2": "N"
278
},
279
"Item9E": {},
280
"Item9F": {},
281
"Item10A": {
282
"Q10A": "N"
283
},
284
"Item11": {
285
"Q11": "N"
286
},
287
"Item11A": {
288
"Q11A1": "N",
289
"Q11A2": "N"
290
},
291
"Item11B": {
292
"Q11B1": "N",
293
"Q11B2": "N"
294
},
295
"Item11C": {
296
"Q11C1": "N",
297
"Q11C2": "N",
298
"Q11C3": "N",
299
"Q11C4": "N",
300
"Q11C5": "N"
301
},
302
"Item11D": {
303
"Q11D1": "N",
304
"Q11D2": "N",
305
"Q11D3": "N",
306
"Q11D4": "N",
307
"Q11D5": "N"
308
},
309
"Item11E": {
310
"Q11E1": "N",
311
"Q11E2": "N",
312
"Q11E3": "N",
313
"Q11E4": "N"
314
},
315
"Item11F": {
316
"Q11F": "N"
317
},
318
"Item11G": {
319
"Q11G": "N"
320
},
321
"Item11H": {
322
"Q11H1A": "N",
323
"Q11H1B": "N",
324
"Q11H1C": "N",
325
"Q11H2": "N"
326
}
327
}
328
}
329
}
Dataset size:
Includes over 41,000 firms (both SEC- and state-registered) and more than 380,000 individual advisers.
Dataset history:
All Search and Schedule APIs provide the latest available version of any Form ADV filing. For access to historical data from 2000 to the present, please contact us.
Data update frequency:
Form ADV filings and their Schedule information are updated once daily between 5:00 AM and 7:30 AM EST.
API Endpoints
Investment Adviser Firm Search
Access the SEC and state registered adviser database.
https://api.sec-api.io/form-adv/firm
Supported HTTP methods: POST
Request and response content type: JSON
Schedule A API - Direct Owners
Access direct owner and executive officer information disclosed in Schedule A of Form ADV.
https://api.sec-api.io/form-adv/schedule-a-direct-owners/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Schedule B API - Indirect Owners
Access indirect owner information disclosed in Schedule B of Form ADV.
https://api.sec-api.io/form-adv/schedule-b-indirect-owners/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Schedule D, 1.B API - Other Business Names
Access all other business names from section 1.B in Schedule D of Form ADV.
https://api.sec-api.io/form-adv/schedule-d-1-b/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Schedule D, 5.K API - Separately Managed Accounts
Access details about all separately managed accounts from section 5.K in Schedule D of Form ADV, including asset type distributions, borrowings and derivative exposures, as well as the custodians for each account.
https://api.sec-api.io/form-adv/schedule-d-5-k/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Schedule D, 7.A API - Financial Industry Affiliations
Access financial industry affiliations and related persons data from section 7.A in Schedule D of Form ADV.
https://api.sec-api.io/form-adv/schedule-d-7-a/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Schedule D, 7.B API - Private Funds
Access section 7.B.1 Private Fund information disclosed in Schedule D of Form ADV.
https://api.sec-api.io/form-adv/schedule-d-7-b-1/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Registered Individual Investment Adviser Representative Search
Access the individual registered adviser database.
https://api.sec-api.io/form-adv/individual
Supported HTTP methods: POST
Request and response content type: JSON
Brochure API
List all brochures submitted in part 2 of an ADV filing.
https://api.sec-api.io/form-adv/brochures/<crd>
Supported HTTP methods: GET
Request and response content type: JSON
Authentication
Use the API key shown in your user profile after sign up. There are two ways to use your API key. It's either/or.
- Set as
Authorizationheader. Before making an API request, set theAuthorizationheader toYOUR_API_KEY. - Set as query parameter. Example:
https://api.sec-api.io/form-adv/firm|individual?token=YOUR_API_KEY
In this case, makePOSTrequests to the endpointhttps://api.sec-api.io/form-adv/firm|individual?token=YOUR_API_KEYand not tohttps://api.sec-api.io/form-adv/firm|individual.
Request Parameters
All ADV filing properties are searchable. Refer to the complete list of properties in the response structure section below. You can send a search query as JSON formatted payload to the API using the structure below.
Request parameters:
query(string) - Specifies the search expression as a string to find ADV filings that match the criteria. The query is written in the Lucene query syntax and supports boolean operators (AND,OR,NOT), wildcards (*), range searches across date and number fields, as well as nested conditions. More information on the Lucene query syntax can be found in our tutorial. Let's look at some examples:- Firm search examples:
The queryInfo.FirmCrdNb:361returns the most recently filed ADV filing by the advisory firm with CRD number 361.
The queryFormInfo.Part1A.Item2A.Q2A1:Yreturns the most recent ADV filings of firm advisers with $100+ million of assets under management.FormInfo.Part1A.Item2A.Q2A11:Yreturns all ADV filings of firm advisers that are classified as Internet Advisers.FormInfo.Item6A.Q6A1:Y OR FormInfo.Item6A.Q6A4:Yreturns all ADV filings of advisers that are either engaged as broker dealers or futures commission merchants. - Individual search examples:
The queryCrntEmps.CrntEmp.orgPK:149777returns the most recent ADV filing of the individual registered adviser with CRD number 149777.
- Firm search examples:
from(integer) - This parameter sets the starting index for yourqueryresults, with a default of 0 and a maximum of 10,000, which is also the cap for the number of ADV filings retrievable per searchquery. To exhaustively retrieve all matching ADV filings, increment thefromvalue by your specifiedsizeparameter (e.g., 50) until no more results are returned or you reach the 10,000 filing cap. Start with increments of 0, 50, 100, etc. If your query exceeds 10,000 filings, consider refining your search criteria, such as employing a date range filter to retrieve the data incrementally. For instance, useFiling.Dt:[2023-01-01 TO 2023-01-31]to find all filings updated in January 2023, paginate through these results by increasingfrom, and repeat the process for subsequent months, e.g.,Filing.Dt:[2023-02-01 TO 2023-02-28].size(integer) - The number of ADV filings to be returned in one response. Default: 50. Max: 50.sort(array) - This parameter defines the sorting order of yourqueryresults, using an array where each item specifies the desired sort order. By default, for firm searches, results are sorted by the firm's CRD number in descending order:[{ "Info.FirmCrdNb": { "order": "desc" }}]. For individual searches, results are sorted by the individual's PK in descending order:[{ "Info.indvlPK": { "order": "desc" }}]. To sort by a different field, adjust the key (e.g.,Info.FirmCrdNb) or change the order toascfor ascending order.
Request Examples
Search example: ADVs filed by firms (SEC and state registered)
Lookup ADV filing by CRD number 361 (Goldman Sachs).
Find ADV filings submitted or modified within a designated time frame. Form ADV filings occasionally receive updates. The Filing.Dt property indicates the date on which the particular filing was most recently modified. Utilizing a date range query, you can specify both a start and an end date to, for instance, obtain filings updated in the past 24 hours. The search query showcased below yields all filings submitted or updated from 2023-01-01 to 2023-03-31.
Find all ADV filings filed by large advisory firms, i.e. a firm that (a) has regulatory assets under management of $100+ million, or (b) is SEC-registered and is submitting an annual updating amendment and has regulatory assets under management of $90 million.
Find all ADV filings filed by advisory firms that provide financial planning services.
Find all ADV filings filed by advisory firms with more than $500 million in assets under management.
Find all ADV filings that disclose private funds data in Item 7.B.1 of Schedule D.
Individual Adviser Search
Find ADV filing filed by individual adviser with CRD 149777.
Schedule A — Direct Owners
List all direct owners disclosed in Schedule A of Form ADV for Stifel Nicolaus with CRD 793.
GET https://api.sec-api.io/form-adv/schedule-a-direct-owners/793?token=YOUR_API_KEY
Schedule B — Indirect Owners
List all indirect owners disclosed in Schedule B of Form ADV for Corient Private Wealth with CRD 326262.
GET https://api.sec-api.io/form-adv/schedule-b-indirect-owners/326262?token=YOUR_API_KEY
Schedule D, Section 1.B — Other Business Names
List all other business names from section 1.B in Schedule D of Form ADV for Morgan Stanley Smith Barney with CRD 149777.
GET https://api.sec-api.io/form-adv/schedule-d-1-b/149777?token=YOUR_API_KEY
Schedule D, Section 5.K — Separately Managed Accounts
Access information about separately managed accounts in section 5.K of Schedule D for Morgan Stanley Smith Barney with CRD 149777.
GET https://api.sec-api.io/form-adv/schedule-d-5-k/149777?token=YOUR_API_KEY
Schedule D, Section 7.A Financial Industry Affiliations
List all related persons in section 7.A Financial Industry Affiliations disclosed in Schedule D by Goldman Sachs with CRD 361.
GET https://api.sec-api.io/form-adv/schedule-d-7-a/361?token=YOUR_API_KEY
Schedule D, Section 7.B.1 Private Funds
List all private funds in section 7.B.1 Private Fund Reporting disclosed in Schedule D by Goldman Sachs with CRD 361.
GET https://api.sec-api.io/form-adv/schedule-d-7-b-1/361?token=YOUR_API_KEY
Brochure Search
List all brochures submitted by Morgan Stanley with CRD 149777.
GET https://api.sec-api.io/form-adv/brochures/149777?token=YOUR_API_KEY
Response Structure
Response type: JSON
The API returns all matching adviser information. The response contains the complete and standardized ADV filing of a given match. The response structure is based on the structure of an ADV filing.
Quick links:
- Response: Firm Search
- Response: Schedule A, Direct Owners
- Response: Schedule B, Indirect Owners
- Response: Schedule D, 1.B Other Business Names
- Response: Schedule D, 5.K Separately Managed Accounts
- Response: Schedule D, 7.A Financial Industry Affiliations
- Response: Schedule D, 7.B.1 Private Funds
- Response: Individual Search
- Response: Brochure Search
Response: Investment Adviser Firm Search
filings(array) - An array of ADV filings matching your search query. Each array item represents an entire ADV filing.Info(object)SECRgnCD(number) - Business type. 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(number) - CRD number assigned by the FINRA's CRD system or by the IARD system, e.g. 133693SECNb(string) - Firm's 801# or 802# from the IARD composite record. This maps to Form ADV-Item 1 - Q1.dBusNm(string) - Firm's primary business name from the IARD composite record. This maps to Form ADV-Item 1 - Q1.bLegalNm(string) - Firm's legal name from the IARD composite record. This maps to Form ADV-Item 1 - Q1.aUmbrRgstn(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.MailingAddr(object) - Item 1G Mailing Address Info.Rgstn(array) - Firm registration types (only available for SEC registered advisers).FirmType(string) - Indiciates if the firm is registered or an ERA. Allowed values:Registeredfor registered firms,ERAfor 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(date) - 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(object) - Active notice filing statuses (only available for SEC registered adivsers).States(array) - List of states the firm's notice is filed in.RgltrCd(string) - Regulator state code, e.g.FLfor Florida.St(string) - Notice filed status of the state. Allowed values are: FILED (Notice Filed), PENDSEC (Pending).Dt(date) - Effective date of the notice filed status, e.g.2017-02-22.
StateRgstn(object) - State registrations only exist for state registered advisers.Rgltrs(object) - Regulators objectRgltr(array)Cd(string) - Allowed state code, e.g.FLfor Florida.St(string) - Business type. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE.Dt(date) - Date, e.g.2022-10-20
ERA(object) - Exempt Reporting AdviserRgltrs(object) - RegulatorsRgltr(array)Cd(string) - Allowed state code, e.g.FLfor Florida.St(string) - Business type. Allowed values are: TRANSITIONING, APPROVED, CONDREST (i.e. conditional restricted), LIMITED, SUSPENDED, TERMREQUEST (i.e. termination requested), ACTIVE.Dt(date) - Date
Filing(array)Dt(date) - The date the firm's most recent Form ADV filing was processed, e.g.2022-10-20FormVrsn(string) - The version of the latest form ADV submitted, e.g.10/2021
FormInfo(object)Part1A(object) - Part 1A detailsItem1(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.WebAddr(string)
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(number) - 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 2AQ2A1(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 2BQ2B1(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.AOrgFormNm(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.BQ3B(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(number)
Item5B(object) - Information About Advisory Business - Approximately how many of the employees reported in 5.A. This maps to Form ADV - Item 5 - Q.BQ5B1(number) - 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(number) - 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(number) - 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(number) - 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(number) - 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(number) - 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.2Q5C1(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(number) - Firm's response to Part1A Item 5C(1): If more than 100, how many (round to the nearest 100).Q5C2(number) - 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 versionQ5D1B(string) - Firm's response to Part1A Item 5D(1)(b): High net worth individuals in 10/2012 versionQ5D1C(string) - Firm's response to Part1A Item 5D(1)(c): Banking or thrift institutions in 10/2012 versionQ5D1D(string) - Firm's response to Part1A Item 5D(1)(d): Investment companies in 10/2012 versionQ5D1E(string) - Firm's response to Part1A Item 5D(1)(e): Business development companies in 10/2012 versionQ5D1F(string) - Firm's response to Part1A Item 5D(1)(f): Pooled investment vehicles (other than investment companies) in 10/2012 versionQ5D1G(string) - Firm's response to Part1A Item 5D(1)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 versionQ5D1H(string) - Firm's response to Part1A Item 5D(1)(h): Charitable organizations in 10/2012 versionQ5D1I(string) - Firm's response to Part1A Item 5D(1)(i): Corporations or other businesses not listed above in 10/2012 versionQ5D1J(string) - Firm's response to Part1A Item 5D(1)(j): State or municipal government entities in 10/2012 versionQ5D1K(string) - Firm's response to Part1A Item 5D(1)(k): Other investment advisers in 10/2012 versionQ5D1L(string) - Firm's response to Part1A Item 5D(1)(l): Insurance companies in 10/2012 versionQ5D1M(string) - Firm's response to Part1A Item 5D(1)(m): Other in 10/2012 versionQ5D1MOth(string) - Firm's response to Part1A Item 5D(1)(m): Other textbox in 10/2012 versionQ5D2A(string) - Firm's response to Part1A Item 5D(2)(a): Individuals (other than high net worth individuals) in 10/2012 versionQ5D2B(string) - Firm's response to Part1A Item 5D(2)(b): High net worth individuals in 10/2012 versionQ5D2C(string) - Firm's response to Part1A Item 5D(2)(c): Banking or thrift institutions in 10/2012 versionQ5D2D(string) - Firm's response to Part1A Item 5D(2)(d): Investment companies in 10/2012 versionQ5D2E(string) - Firm's response to Part1A Item 5D(2)(e): Business development companies in 10/2012 versionQ5D2F(string) - Firm's response to Part1A Item 5D(2)(f): Pooled investment vehicles (other than investment companies) in 10/2012 versionQ5D2G(string) - Firm's response to Part1A Item 5D(2)(g): Pension and profit sharing plans (but not the plan participants) in 10/2012 versionQ5D2H(string) - Firm's response to Part1A Item 5D(2)(h): Charitable organizations in 10/2012 versionQ5D2I(string) - Firm's response to Part1A Item 5D(2)(i): Corporations or other businesses not listed above in 10/2012 versionQ5D2J(string) - Firm's response to Part1A Item 5D(2)(j): State or municipal government entities in 10/2012 versionQ5D2K(string) - Firm's response to Part1A Item 5D(2)(k): Other investment advisers in 10/2012 versionQ5D2L(string) - Firm's response to Part1A Item 5D(2)(l): Insurance companies in 10/2012 versionQ5D2M(string) - Firm's response to Part1A Item 5D(2)(m): Other in 10/2012 versionQ5D2MOth(string) - Firm's response to Part1A Item 5D(2)(m): Other textbox in 10/2012 versionQ5DA1(string) - 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(string) - Firm's response to Part1A Item 5D(1)(a)(3): Regulatory Assets under Management -Individuals (other than high net worth individuals)Q5DB1(string) - Firm's response to Part1A Item 5D(b)(1): Number of clients -Individuals high net worth individualsQ5DB2(string) - Firm's response to Part1A Item 5D(b)(2): Fewer than 5 clients - high net worth individualsQ5DB3(string) - Firm's response to Part1A Item 5D(b)(3): Regulatory Assets under Management -Individuals high net worth individualsQ5DC1(string) - Firm's response to Part1A Item 5D(c)(1): Banking or thrift institutionsQ5DC2(string) - Firm's response to Part1A Item 5D(c)(2): Banking or thrift institutionsQ5DC3(string) - Firm's response to Part1A Item 5D(c)(3): Banking or thrift institutionsQ5DD1(string) - Firm's response to Part1A Item 5D(d)(1): Investment companiesQ5DD3(string) - Firm's response to Part1A Item 5D(d)(3): Investment companiesQ5DE1(string) - Firm's response to Part1A Item 5D(e)(1): Business development companiesQ5DE3(string) - Firm's response to Part1A Item 5D(e)(3): Business development companiesQ5DF1(string) - Firm's response to Part1A Item 5D(f)(1): Pooled investment vehicles (other than investment companies and Business development companies)Q5DF3(string) - Firm's response to Part1A Item 5D(f)(3): Pooled investment vehicles (other than investment companies and Business development companies)Q5DG1(string) - 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(string) - Firm's response to Part1A Item 5D(1)(g)(3): Pension and profit sharing plans (but not the plan participants)Q5DH1(string) - Firm's response to Part1A Item 5D(h)(1): Charitable organizationsQ5DH2(string) - Firm's response to Part1A Item 5D(1)(h)(2): Charitable organizationsQ5DH3(string) - Firm's response to Part1A Item 5D(h)(3): Charitable organizationsQ5DI1(string) - 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(string) - Firm's response to Part1A Item 5D(i)(3): State or municipal government entities (including government pension plans)Q5DJ1(string) - Firm's response to Part1A Item 5D(j)(1): Other investment advisersQ5DJ2(string) - Firm's response to Part1A Item 5D(j)(2): Other investment advisersQ5DJ3(string) - Firm's response to Part1A Item 5D(j)(3): Other investment advisersQ5DK1(string) - Firm's response to Part1A Item 5D(k)(1): Insurance companiesQ5DK2(string) - Firm's response to Part1A Item 5D(k)(2): Insurance companiesQ5DK3(string) - Firm's response to Part1A Item 5D(k)(3): Insurance companiesQ5DL1(string) - Firm's response to Part1A Item 5D(l)(1): Sovereign wealth funds and foreign official institutionsQ5DL2(string) - Firm's response to Part1A Item 5D(l)(2): Sovereign wealth funds and foreign official institutionsQ5DL3(string) - Firm's response to Part1A Item 5D(l)(3): Sovereign wealth funds and foreign official institutionsQ5DM1(string) - Firm's response to Part1A Item 5D(m)(1): Corporations or other businesses not listed aboveQ5DM2(string) - Firm's response to Part1A Item 5D(m)(2): Corporations or other businesses not listed aboveQ5DM3(string) - Firm's response to Part1A Item 5D(m)(3): Corporations or other businesses not listed aboveQ5DN1(string) - Firm's response to Part1A Item 5D(n)(1): OtherQ5DN2(string) - Firm's response to Part1A Item 5D(n)(2): OtherQ5DN3(string) - Firm's response to Part1A Item 5D(n)(3): OtherQ5DN3Oth(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.EQ5E1(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.FQ5F1(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(number) - Firm's response to Part1A Item 5F2a-Discretionary U.S. Dollar Amount.Q5F2B(number) - Firm's response to Part1A Item 5F2b-Non-Discretionary U. S. Dollar Amount.Q5F2C(number) - Firm's response to Part1A Item 5F2c-Total U.S. Dollar Amount.Q5F2D(number) - Firm's response to Part1A Item 5F2d-Discretionary Total Number of Accounts.Q5F2E(number) - Firm's response to Part1A Item 5F2e-Non-Discretionary Total Number of Accounts.Q5F2F(number) - Firm's response to Part1A Item 5F2f-Total Number of Accounts.Q5F3(string) - 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.GQ5G1(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.HQ5H(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(number) - 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.IQ5I1(string) - Firm's response to Part1A Item 5I(1): sponsor the wrap fee program. Allowed values:Y= yes,N= no.Q5I2A(string) - 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 programQ5I2B(string) - 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 programQ5I2C(string) - 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.JQ5J1(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.KQ5K1(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.LQ5L1A(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.AQ6A1(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.3Q6B1(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.AQ7A1(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.BQ7B(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.3Q8A1(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.3Q8B1(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.4Q8C1(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.DQ8D(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.EQ8E(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.FQ8F(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.2Q8G1(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.HQ8H(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.IQ8I(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.2Q9A1A(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(number) - Firm's response to Part1A Item 9A(2)(a): U.S. Dollar Amount.Q9A2B(number) - 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.2Q9B1A(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(number) - Firm's response to Part1A Item 9B(2)(a): U.S. Dollar Amount.Q9B2B(number) - 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.4Q9C1(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.2Q9D1(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.EQ9E(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.FQ9F(number) - 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.BQ10A(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 11Q11(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.AQ11A1(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.BQ11B1(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.CQ11C1(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.DQ11D1(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.EQ11E1(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.FQ11F(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.GQ11G(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.HQ11G(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(object) - Part 1B details (only for state registered advisers).Item2(object)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.FQ1B2C(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.2Q1BG1TaxPrprr(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.HQ1B2HScrtsNvsmt(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(number) - 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(number) - 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.3Q1B2I1(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 descriptionQ1B2I2B(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.3Q1BJ1A(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.2Q1B2K1(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:
Response Example: Investment Adviser Firm Search
JSON
1
{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"filings": [
7
{
8
"Info": {
9
"SECRgnCD": "SFRO",
10
"FirmCrdNb": 38,
11
"SECNb": "801-57838",
12
"BusNm": "AMERICAN INVESTORS CO",
13
"LegalNm": "L.S.Y., INC",
14
"UmbrRgstn": "N"
15
},
16
"MainAddr": {
17
"Strt1": "12667 ALCOSTA BLVD., SUITE 160",
18
"City": "SAN RAMON",
19
"State": "CA",
20
"Cntry": "United States",
21
"PostlCd": "94583",
22
"PhNb": "925-866-2882",
23
"FaxNb": "925-866-8989"
24
},
25
"MailingAddr": {
26
"Strt1": "PO BOX 1307",
27
"City": "SAN RAMON",
28
"State": "CA",
29
"Cntry": "United States",
30
"PostlCd": "94583"
31
},
32
"Rgstn": [
33
{
34
"FirmType": "Registered",
35
"St": "APPROVED",
36
"Dt": "2000-08-22"
37
}
38
],
39
"NoticeFiled": {
40
"States": [
41
{
42
"RgltrCd": "AZ",
43
"St": "FILED",
44
"Dt": "2004-07-19"
45
},
46
{
47
"RgltrCd": "CA",
48
"St": "FILED",
49
"Dt": "1997-07-08"
50
},
51
{
52
"RgltrCd": "CO",
53
"St": "FILED",
54
"Dt": "2017-02-22"
55
},
56
{
57
"RgltrCd": "FL",
58
"St": "FILED",
59
"Dt": "2006-09-22"
60
},
61
{
62
"RgltrCd": "NV",
63
"St": "FILED",
64
"Dt": "2004-07-19"
65
},
66
{
67
"RgltrCd": "OR",
68
"St": "FILED",
69
"Dt": "2004-07-19"
70
},
71
{
72
"RgltrCd": "TN",
73
"St": "FILED",
74
"Dt": "2022-06-28"
75
},
76
{
77
"RgltrCd": "TX",
78
"St": "FILED",
79
"Dt": "1996-11-15"
80
},
81
{
82
"RgltrCd": "WA",
83
"St": "FILED",
84
"Dt": "2004-07-19"
85
},
86
{
87
"RgltrCd": "NY",
88
"St": "FILED",
89
"Dt": "2007-06-15"
90
},
91
{
92
"RgltrCd": "IL",
93
"St": "FILED",
94
"Dt": "2022-04-25"
95
}
96
]
97
},
98
"Filing": [
99
{
100
"Dt": "2022-06-28",
101
"FormVrsn": "10/2021"
102
}
103
],
104
"FormInfo": {
105
"Part1A": {
106
"Item1": {
107
"WebAddrs": {
108
"WebAddr": "HTTPS://WWW.AMERICANINVESTORSCO.COM"
109
},
110
"Q1F5": 15,
111
"Q1I": "Y",
112
"Q1M": "N",
113
"Q1N": "N",
114
"Q1O": "N"
115
},
116
"Item2A": {
117
"Q2A1": "Y",
118
"Q2A2": "N",
119
"Q2A4": "N",
120
"Q2A5": "N",
121
"Q2A6": "N",
122
"Q2A7": "N",
123
"Q2A8": "N",
124
"Q2A9": "N",
125
"Q2A10": "N",
126
"Q2A11": "N",
127
"Q2A12": "N",
128
"Q2A13": "N"
129
},
130
"Item2B": {},
131
"Item3A": {
132
"OrgFormNm": "Corporation"
133
},
134
"Item3B": {
135
"Q3B": "MARCH"
136
},
137
"Item3C": {
138
"StateCD": "CA",
139
"CntryNm": "United States"
140
},
141
"Item5A": {
142
"TtlEmp": 39
143
},
144
"Item5B": {
145
"Q5B1": 39,
146
"Q5B2": 39,
147
"Q5B3": 37,
148
"Q5B4": 4,
149
"Q5B5": 28,
150
"Q5B6": 1
151
},
152
"Item5C": {
153
"Q5C1": "20",
154
"Q5C2": 0
155
},
156
"Item5D": {
157
"Q5DA1": 763,
158
"Q5DA3": 210834513,
159
"Q5DB1": 199,
160
"Q5DB3": 360889464,
161
"Q5DC2": "Fewer than 5 clients",
162
"Q5DD1": 0,
163
"Q5DE1": 0,
164
"Q5DF1": 0,
165
"Q5DG2": "Fewer than 5 clients",
166
"Q5DG3": 20547617,
167
"Q5DH1": 5,
168
"Q5DH3": 1628910,
169
"Q5DI2": "Fewer than 5 clients",
170
"Q5DJ2": "Fewer than 5 clients",
171
"Q5DK2": "Fewer than 5 clients",
172
"Q5DL2": "Fewer than 5 clients",
173
"Q5DM1": 7,
174
"Q5DM3": 4145983,
175
"Q5DN2": "Fewer than 5 clients",
176
"Q5DN3": 106005,
177
"Q5DN3Oth": "ASSOCIATIONS"
178
},
179
"Item5E": {
180
"Q5E1": "Y",
181
"Q5E2": "Y",
182
"Q5E3": "N",
183
"Q5E4": "Y",
184
"Q5E5": "Y",
185
"Q5E6": "N",
186
"Q5E7": "N"
187
},
188
"Item5F": {
189
"Q5F1": "Y",
190
"Q5F2A": 553966149,
191
"Q5F2B": 44186343,
192
"Q5F2C": 598152492,
193
"Q5F2D": 1645,
194
"Q5F2E": 270,
195
"Q5F2F": 1915,
196
"Q5F3": 1574708
197
},
198
"Item5G": {
199
"Q5G1": "Y",
200
"Q5G2": "Y",
201
"Q5G3": "N",
202
"Q5G4": "N",
203
"Q5G5": "Y",
204
"Q5G6": "N",
205
"Q5G7": "Y",
206
"Q5G8": "N",
207
"Q5G9": "N",
208
"Q5G10": "N",
209
"Q5G11": "N",
210
"Q5G12": "N"
211
},
212
"Item5H": {
213
"Q5H": "1-10"
214
},
215
"Item5I": {
216
"Q5I1": "N"
217
},
218
"Item5J": {
219
"Q5J1": "N",
220
"Q5J2": "N"
221
},
222
"Item5K": {
223
"Q5K1": "Y",
224
"Q5K2": "N",
225
"Q5K3": "Y",
226
"Q5K4": "Y"
227
},
228
"Item5L": {},
229
"Item6A": {
230
"Q6A1": "Y",
231
"Q6A2": "N",
232
"Q6A3": "N",
233
"Q6A4": "N",
234
"Q6A5": "N",
235
"Q6A6": "Y",
236
"Q6A7": "N",
237
"Q6A8": "N",
238
"Q6A9": "N",
239
"Q6A10": "N",
240
"Q6A11": "N",
241
"Q6A12": "N",
242
"Q6A13": "N",
243
"Q6A14": "N"
244
},
245
"Item6B": {
246
"Q6B1": "N",
247
"Q6B3": "Y"
248
},
249
"Item7A": {
250
"Q7A1": "Y",
251
"Q7A2": "Y",
252
"Q7A3": "N",
253
"Q7A4": "N",
254
"Q7A5": "N",
255
"Q7A6": "N",
256
"Q7A7": "N",
257
"Q7A8": "N",
258
"Q7A9": "N",
259
"Q7A10": "Y",
260
"Q7A11": "Y",
261
"Q7A12": "Y",
262
"Q7A13": "N",
263
"Q7A14": "Y",
264
"Q7A15": "Y",
265
"Q7A16": "N"
266
},
267
"Item7B": {
268
"Q7B": "N"
269
},
270
"Item8A": {
271
"Q8A1": "N",
272
"Q8A2": "Y",
273
"Q8A3": "N"
274
},
275
"Item8B": {
276
"Q8B1": "N",
277
"Q8B2": "N",
278
"Q8B3": "N"
279
},
280
"Item8C": {
281
"Q8C1": "Y",
282
"Q8C2": "Y",
283
"Q8C3": "N",
284
"Q8C4": "N"
285
},
286
"Item8D": {},
287
"Item8E": {
288
"Q8E": "Y"
289
},
290
"Item8F": {
291
"Q8F": "Y"
292
},
293
"Item8G": {
294
"Q8G1": "N"
295
},
296
"Item8H": {
297
"Q8H1": "N",
298
"Q8H2": "N"
299
},
300
"Item8I": {
301
"Q8I": "Y"
302
},
303
"Item9A": {
304
"Q9A1A": "N",
305
"Q9A1B": "N"
306
},
307
"Item9B": {
308
"Q9B1A": "N",
309
"Q9B1B": "N"
310
},
311
"Item9C": {
312
"Q9C1": "N",
313
"Q9C2": "N",
314
"Q9C3": "N",
315
"Q9C4": "N"
316
},
317
"Item9D": {
318
"Q9D1": "N",
319
"Q9D2": "N"
320
},
321
"Item9E": {},
322
"Item9F": {},
323
"Item10A": {
324
"Q10A": "N"
325
},
326
"Item11": {
327
"Q11": "N"
328
},
329
"Item11A": {
330
"Q11A1": "N",
331
"Q11A2": "N"
332
},
333
"Item11B": {
334
"Q11B1": "N",
335
"Q11B2": "N"
336
},
337
"Item11C": {
338
"Q11C1": "N",
339
"Q11C2": "N",
340
"Q11C3": "N",
341
"Q11C4": "N",
342
"Q11C5": "N"
343
},
344
"Item11D": {
345
"Q11D1": "N",
346
"Q11D2": "N",
347
"Q11D3": "N",
348
"Q11D4": "N",
349
"Q11D5": "N"
350
},
351
"Item11E": {
352
"Q11E1": "N",
353
"Q11E2": "N",
354
"Q11E3": "N",
355
"Q11E4": "N"
356
},
357
"Item11F": {
358
"Q11F": "N"
359
},
360
"Item11G": {
361
"Q11G": "N"
362
},
363
"Item11H": {
364
"Q11H1A": "N",
365
"Q11H1B": "N",
366
"Q11H1C": "N",
367
"Q11H2": "N"
368
}
369
}
370
},
371
"id": 38
372
},
373
{
374
"Info": {
375
"SECRgnCD": "PLRO",
376
"FirmCrdNb": 53,
377
"SECNb": "801-55083",
378
"BusNm": "HEFREN-TILLOTSON, INC.",
379
"LegalNm": "HEFREN-TILLOTSON, INC.",
380
"UmbrRgstn": "N"
381
},
382
"MainAddr": {
383
"Strt1": "308 SEVENTH AVE",
384
"City": "PITTSBURGH",
385
"State": "PA",
386
"Cntry": "United States",
387
"PostlCd": "15222",
388
"PhNb": "412-434-0990",
389
"FaxNb": "412-261-4348"
390
},
391
"MailingAddr": {},
392
"Rgstn": [
393
{
394
"FirmType": "Registered",
395
"St": "APPROVED",
396
"Dt": "1997-12-11"
397
}
398
],
399
"NoticeFiled": {
400
"States": [
401
{
402
"RgltrCd": "AL",
403
"St": "FILED",
404
"Dt": "2016-08-23"
405
},
406
{
407
"RgltrCd": "AZ",
408
"St": "FILED",
409
"Dt": "2010-12-09"
410
},
411
{
412
"RgltrCd": "CA",
413
"St": "FILED",
414
"Dt": "2005-12-09"
415
},
416
{
417
"RgltrCd": "CT",
418
"St": "FILED",
419
"Dt": "2017-05-26"
420
},
421
{
422
"RgltrCd": "DE",
423
"St": "FILED",
424
"Dt": "2007-09-17"
425
},
426
{
427
"RgltrCd": "DC",
428
"St": "FILED",
429
"Dt": "2020-01-16"
430
},
431
{
432
"RgltrCd": "FL",
433
"St": "FILED",
434
"Dt": "2001-06-14"
435
},
436
{
437
"RgltrCd": "GA",
438
"St": "FILED",
439
"Dt": "2006-08-08"
440
},
441
{
442
"RgltrCd": "IL",
443
"St": "FILED",
444
"Dt": "2005-12-14"
445
},
446
{
447
"RgltrCd": "IN",
448
"St": "FILED",
449
"Dt": "2014-11-19"
450
},
451
{
452
"RgltrCd": "KS",
453
"St": "FILED",
454
"Dt": "2018-09-20"
455
},
456
{
457
"RgltrCd": "KY",
458
"St": "FILED",
459
"Dt": "2012-08-13"
460
},
461
{
462
"RgltrCd": "LA",
463
"St": "FILED",
464
"Dt": "2012-10-11"
465
},
466
{
467
"RgltrCd": "ME",
468
"St": "FILED",
469
"Dt": "2022-03-01"
470
},
471
{
472
"RgltrCd": "MD",
473
"St": "FILED",
474
"Dt": "2007-10-09"
475
},
476
{
477
"RgltrCd": "MA",
478
"St": "FILED",
479
"Dt": "2006-03-27"
480
},
481
{
482
"RgltrCd": "MI",
483
"St": "FILED",
484
"Dt": "2010-04-09"
485
},
486
{
487
"RgltrCd": "MN",
488
"St": "FILED",
489
"Dt": "2018-02-14"
490
},
491
{
492
"RgltrCd": "MO",
493
"St": "FILED",
494
"Dt": "2010-07-09"
495
},
496
{
497
"RgltrCd": "NE",
498
"St": "FILED",
499
"Dt": "2021-08-18"
500
},
501
{
502
"RgltrCd": "NV",
503
"St": "FILED",
504
"Dt": "2015-12-16"
505
},
506
{
507
"RgltrCd": "NH",
508
"St": "FILED",
509
"Dt": "2004-09-09"
510
},
511
{
512
"RgltrCd": "NJ",
513
"St": "FILED",
514
"Dt": "2005-06-13"
515
},
516
{
517
"RgltrCd": "NY",
518
"St": "FILED",
519
"Dt": "2004-08-02"
520
},
521
{
522
"RgltrCd": "NC",
523
"St": "FILED",
524
"Dt": "2005-12-09"
525
},
526
{
527
"RgltrCd": "OH",
528
"St": "FILED",
529
"Dt": "2001-06-14"
530
},
531
{
532
"RgltrCd": "OR",
533
"St": "FILED",
534
"Dt": "2016-07-20"
535
},
536
{
537
"RgltrCd": "PA",
538
"St": "FILED",
539
"Dt": "2002-03-28"
540
},
541
{
542
"RgltrCd": "SC",
543
"St": "FILED",
544
"Dt": "2005-12-09"
545
},
546
{
547
"RgltrCd": "TN",
548
"St": "FILED",
549
"Dt": "2010-01-07"
550
},
551
{
552
"RgltrCd": "TX",
553
"St": "FILED",
554
"Dt": "2004-05-03"
555
},
556
{
557
"RgltrCd": "UT",
558
"St": "FILED",
559
"Dt": "2021-09-01"
560
},
561
{
562
"RgltrCd": "VT",
563
"St": "FILED",
564
"Dt": "1998-08-24"
565
},
566
{
567
"RgltrCd": "VA",
568
"St": "FILED",
569
"Dt": "2005-10-28"
570
},
571
{
572
"RgltrCd": "WA",
573
"St": "FILED",
574
"Dt": "2011-02-09"
575
},
576
{
577
"RgltrCd": "WV",
578
"St": "FILED",
579
"Dt": "2001-08-03"
580
}
581
]
582
},
583
"Filing": [
584
{
585
"Dt": "2022-06-06",
586
"FormVrsn": "10/2021"
587
}
588
],
589
"FormInfo": {
590
"Part1A": {
591
"Item1": {
592
"WebAddrs": {
593
"WebAddr": "HTTPS://WWW.YOUTUBE.COM/CHANNEL/UC7GC1TQWJYPJVN4JLWTWDHQ"
594
},
595
"Q1F5": 6,
596
"Q1I": "Y",
597
"Q1M": "N",
598
"Q1N": "N",
599
"Q1O": "Y",
600
"Q1ODesc": "$10 billion - $50 billion"
601
},
602
"Item2A": {
603
"Q2A1": "Y",
604
"Q2A2": "N",
605
"Q2A4": "N",
606
"Q2A5": "N",
607
"Q2A6": "N",
608
"Q2A7": "N",
609
"Q2A8": "N",
610
"Q2A9": "N",
611
"Q2A10": "N",
612
"Q2A11": "N",
613
"Q2A12": "N",
614
"Q2A13": "N"
615
},
616
"Item2B": {},
617
"Item3A": {
618
"OrgFormNm": "Corporation"
619
},
620
"Item3B": {
621
"Q3B": "OCTOBER"
622
},
623
"Item3C": {
624
"StateCD": "PA",
625
"CntryNm": "United States"
626
},
627
"Item5A": {
628
"TtlEmp": 273
629
},
630
"Item5B": {
631
"Q5B1": 107,
632
"Q5B2": 171,
633
"Q5B3": 147,
634
"Q5B4": 0,
635
"Q5B5": 138,
636
"Q5B6": 0
637
},
638
"Item5C": {
639
"Q5C1": "13352",
640
"Q5C2": 1
641
},
642
"Item5D": {
643
"Q5DA1": 8936,
644
"Q5DA3": 3736268164,
645
"Q5DB1": 4160,
646
"Q5DB3": 8278632041,
647
"Q5DG1": 60,
648
"Q5DG3": 99896389,
649
"Q5DH1": 67,
650
"Q5DH3": 146593507,
651
"Q5DI1": 9,
652
"Q5DI3": 100274071,
653
"Q5DM1": 48,
654
"Q5DM3": 68379168
655
},
656
"Item5E": {
657
"Q5E1": "Y",
658
"Q5E2": "Y",
659
"Q5E3": "N",
660
"Q5E4": "N",
661
"Q5E5": "Y",
662
"Q5E6": "N",
663
"Q5E7": "N"
664
},
665
"Item5F": {
666
"Q5F1": "Y",
667
"Q5F2A": 7111650090,
668
"Q5F2B": 5318393250,
669
"Q5F2C": 12430043340,
670
"Q5F2D": 17298,
671
"Q5F2E": 13563,
672
"Q5F2F": 30861,
673
"Q5F3": 5016483
674
},
675
"Item5G": {
676
"Q5G1": "Y",
677
"Q5G2": "Y",
678
"Q5G3": "N",
679
"Q5G4": "N",
680
"Q5G5": "Y",
681
"Q5G6": "N",
682
"Q5G7": "N",
683
"Q5G8": "N",
684
"Q5G9": "N",
685
"Q5G10": "N",
686
"Q5G11": "N",
687
"Q5G12": "N"
688
},
689
"Item5H": {
690
"Q5H": "More than 500",
691
"Q5HMT500": 1500
692
},
693
"Item5I": {
694
"Q5I1": "Y",
695
"Q5I2A": 32553114,
696
"Q5I2B": 0,
697
"Q5I2C": 0
698
},
699
"Item5J": {
700
"Q5J1": "N",
701
"Q5J2": "N"
702
},
703
"Item5K": {
704
"Q5K1": "Y",
705
"Q5K2": "N",
706
"Q5K3": "N",
707
"Q5K4": "N"
708
},
709
"Item5L": {},
710
"Item6A": {
711
"Q6A1": "Y",
712
"Q6A2": "Y",
713
"Q6A3": "N",
714
"Q6A4": "N",
715
"Q6A5": "N",
716
"Q6A6": "Y",
717
"Q6A7": "N",
718
"Q6A8": "N",
719
"Q6A9": "N",
720
"Q6A10": "N",
721
"Q6A11": "N",
722
"Q6A12": "N",
723
"Q6A13": "N",
724
"Q6A14": "N"
725
},
726
"Item6B": {
727
"Q6B1": "N",
728
"Q6B3": "N"
729
},
730
"Item7A": {
731
"Q7A1": "Y",
732
"Q7A2": "Y",
733
"Q7A3": "Y",
734
"Q7A4": "N",
735
"Q7A5": "N",
736
"Q7A6": "Y",
737
"Q7A7": "N",
738
"Q7A8": "N",
739
"Q7A9": "Y",
740
"Q7A10": "N",
741
"Q7A11": "N",
742
"Q7A12": "Y",
743
"Q7A13": "Y",
744
"Q7A14": "N",
745
"Q7A15": "N",
746
"Q7A16": "Y"
747
},
748
"Item7B": {
749
"Q7B": "N"
750
},
751
"Item8A": {
752
"Q8A1": "Y",
753
"Q8A2": "Y",
754
"Q8A3": "N"
755
},
756
"Item8B": {
757
"Q8B1": "Y",
758
"Q8B2": "N",
759
"Q8B3": "N"
760
},
761
"Item8C": {
762
"Q8C1": "Y",
763
"Q8C2": "Y",
764
"Q8C3": "Y",
765
"Q8C4": "Y"
766
},
767
"Item8D": {
768
"Q8D": "N"
769
},
770
"Item8E": {
771
"Q8E": "Y"
772
},
773
"Item8F": {
774
"Q8F": "N"
775
},
776
"Item8G": {
777
"Q8G1": "N"
778
},
779
"Item8H": {
780
"Q8H1": "Y",
781
"Q8H2": "Y"
782
},
783
"Item8I": {
784
"Q8I": "Y"
785
},
786
"Item9A": {
787
"Q9A1A": "Y",
788
"Q9A1B": "Y",
789
"Q9A2A": 12306463449,
790
"Q9A2B": 13010
791
},
792
"Item9B": {
793
"Q9B1A": "N",
794
"Q9B1B": "N"
795
},
796
"Item9C": {
797
"Q9C1": "N",
798
"Q9C2": "N",
799
"Q9C3": "Y",
800
"Q9C4": "Y"
801
},
802
"Item9D": {
803
"Q9D1": "N",
804
"Q9D2": "N"
805
},
806
"Item9E": {
807
"Q9E": "2019-08"
808
},
809
"Item9F": {
810
"Q9F": 98
811
},
812
"Item10A": {
813
"Q10A": "N"
814
},
815
"Item11": {
816
"Q11": "Y"
817
},
818
"Item11A": {
819
"Q11A1": "N",
820
"Q11A2": "N"
821
},
822
"Item11B": {
823
"Q11B1": "N",
824
"Q11B2": "N"
825
},
826
"Item11C": {
827
"Q11C1": "Y",
828
"Q11C2": "Y",
829
"Q11C3": "N",
830
"Q11C4": "Y",
831
"Q11C5": "Y"
832
},
833
"Item11D": {
834
"Q11D1": "N",
835
"Q11D2": "Y",
836
"Q11D3": "N",
837
"Q11D4": "Y",
838
"Q11D5": "N"
839
},
840
"Item11E": {
841
"Q11E1": "N",
842
"Q11E2": "Y",
843
"Q11E3": "N",
844
"Q11E4": "Y"
845
},
846
"Item11F": {
847
"Q11F": "N"
848
},
849
"Item11G": {
850
"Q11G": "N"
851
},
852
"Item11H": {
853
"Q11H1A": "N",
854
"Q11H1B": "Y",
855
"Q11H1C": "N",
856
"Q11H2": "N"
857
}
858
}
859
},
860
"id": 53
861
}
862
]
863
}
Response: Schedule A - Direct Owners
The API returns all direct owners and executive officers disclosed in Schedule A of Form ADV.
Response StructuredirectOwners(array of objects) - Array of direct owners and executive officers disclosed in Schedule A. Schedule A asks for information about direct owners and executive officers. Schedule C is used to amend this information.name(string) - Full legal name of direct owner or executive officer. Possible values:- (a) each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer (Chief Compliance Officer is required if you are registered or applying for registration and cannot be more than one individual), director, and any other individuals with similar status or functions;
- (b) if you are organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of your voting securities, unless you are a public reporting company (a company subject to Section 12 or 15(d) of the Exchange Act); Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of your voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
- (c) if you are organized as a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 5% or more of your capital;
- (d) in the case of a trust that directly owns 5% or more of a class of your voting securities, or that has the right to receive upon dissolution, or has contributed, 5% or more of your capital, the trust and each trustee; and
- (e) if you are organized as a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 5% or more of your capital, and (ii) if managed by elected managers, all elected managers.
ownerType(string) - Owner type. Possible values:DEif the owner is a domestic entity,FEif the owner is an entity incorporated or domiciled in a foreign country, orIif the owner or executive officer is an individual.titleStatus(string) - Title or status. Includes board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or member; and for shareholders or members, the class of securities owned (if more than one is issued). Example: MANAGING PARTNER & CHIEF INVESTMENT OFFICER.dateTitleStatusAcquired(date) - Date title or status was acquired. Format:YYYY-MM.ownershipCode(string) - Ownership code. Possible values:NA- less than 5%,A- 5% but less than 10%,B- 10% but less than 25%,C- 25% but less than 50%,D- 50% but less than 75%,E- 75% or more.isControlPerson(bool) - Istrueif the person has control as defined in the Glossary of Terms to Form ADV.falseotherwise. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.isPublicReporting(bool) - Istrueif the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.falseotherwise.crd(string) - CRD number. If none: S.S. no. and date of borth, IRS tax no. or employer ID no. Example: 4776066.
Response Example: Direct Owners, Schedule A
JSON
1
[
2
{
3
"name": "WILKINS, ANDREW, CHARLES",
4
"ownerType": "I",
5
"titleStatus": "MANAGING PARTNER & CHIEF INVESTMENT OFFICER",
6
"dateTitleStatusAcquired": "2009-01",
7
"ownershipCode": "D",
8
"isControlPerson": true,
9
"isPublicReporting": false,
10
"crd": "4776066"
11
},
12
{
13
"name": "SHABECOFF, PETER, JOHN",
14
"ownerType": "I",
15
"titleStatus": "MANAGING PARTNER",
16
"dateTitleStatusAcquired": "2009-04",
17
"ownershipCode": "C",
18
"isControlPerson": true,
19
"isPublicReporting": false,
20
"crd": "6024314"
21
},
22
{
23
"name": "ROSKEN, IRIS, BETH",
24
"ownerType": "I",
25
"titleStatus": "CHIEF COMPLIANCE OFFICER",
26
"dateTitleStatusAcquired": "2011-06",
27
"ownershipCode": "NA",
28
"isControlPerson": true,
29
"isPublicReporting": false,
30
"crd": "2419217"
31
},
32
{
33
"name": "DRUCE, PHILLIP, NICHOLAS",
34
"ownerType": "I",
35
"titleStatus": "PARTNER",
36
"dateTitleStatusAcquired": "2018-12",
37
"ownershipCode": "NA",
38
"isControlPerson": false,
39
"isPublicReporting": false,
40
"crd": "4849133"
41
},
42
{
43
"name": "BROWN, CRISTIN, HEATHER",
44
"ownerType": "I",
45
"titleStatus": "CHIEF FINANCIAL OFFICER",
46
"dateTitleStatusAcquired": "2021-06",
47
"ownershipCode": "NA",
48
"isControlPerson": true,
49
"isPublicReporting": false,
50
"crd": "6128587"
51
},
52
{
53
"name": "STEINLE, JOHN, PAUL",
54
"ownerType": "I",
55
"titleStatus": "PARTNER OF INVESTOR RELATIONS",
56
"dateTitleStatusAcquired": "2021-05",
57
"ownershipCode": "NA",
58
"isControlPerson": false,
59
"isPublicReporting": false,
60
"crd": "4614325"
61
},
62
{
63
"name": "CONKLIN, JOHN, R",
64
"ownerType": "I",
65
"titleStatus": "PARTNER OF BUSINESS DEVELOPMENT",
66
"dateTitleStatusAcquired": "2021-03",
67
"ownershipCode": "NA",
68
"isControlPerson": false,
69
"isPublicReporting": false,
70
"crd": "4214754"
71
}
72
]
Response: Schedule B - Indirect Owners
The API returns all indirect owners disclosed in Schedule B of Form ADV.
Response StructureindirectOwners(array of objects) - Array of indirect owners disclosed in Schedule B. Schedule C is used to amend this information.name(string) - Full legal name of indirect owner. With respect to each owner listed on Schedule A (except individual owners), possible values are:- (a) in the case of an owner that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of a voting security of that corporation; For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.
- (b) in the case of an owner that is a partnership, all general partners and those limited and special partners that have the right to receive upon dissolution, or have contributed, 25% or more of the partnership's capital;
- (c) in the case of an owner that is a trust, the trust and each trustee; and
- (d) in the case of an owner that is a limited liability company ("LLC"), (i) those members that have the right to receive upon dissolution, or have contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, all elected managers.
ownerType(string) - Owner type. Possible values:DEif the owner is a domestic entity,FEif the owner is an entity incorporated or domiciled in a foreign country, orIif the owner is an individual.entityOwned(string) - Entity in which interest is owned. Example: SANDS CAPITAL MANAGEMENT, LP.status(string) - Owner's status as partner, trustee, elected manager, shareholder, or member; and for shareholders or members, the class of securities owned (if more than one is issued). Example: TRUSTEE.dateStatusAcquired(date) - Date status was acquired. Format:YYYY-MM.ownershipCode(string) - Ownership code. Possible values:C- 25% but less than 50%,D- 50% but less than 75%,E- 75% or more,F- Other (general partner, trustee, or elected manager).isControlPerson(bool) - Istrueif the person has control as defined in the Glossary of Terms to Form ADV.falseotherwise. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.isPublicReporting(bool) - Istrueif the owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.falseotherwise.crd(string) - CRD number. If none: S.S. no. and date of borth, IRS tax no. or employer ID no. Example: 4776066.
Response Example: Indirect Owners, Schedule B
JSON
1
[
2
{
3
"name": "CIPW HOLDINGS, LLC",
4
"ownerType": "DE",
5
"entityOwned": "CI PRIVATE WEALTH, LLC",
6
"status": "OWNER",
7
"dateStatusAcquired": "2023-03",
8
"ownershipCode": "E",
9
"isControlPerson": true,
10
"isPublicReporting": false,
11
"crd": ""
12
},
13
{
14
"name": "CI US HOLDINGS, INC.",
15
"ownerType": "DE",
16
"entityOwned": "CIPW HOLDINGS, LLC",
17
"status": "OWNER",
18
"dateStatusAcquired": "2023-03",
19
"ownershipCode": "F",
20
"isControlPerson": true,
21
"isPublicReporting": false,
22
"crd": ""
23
},
24
{
25
"name": "CI FINANCIAL CORP.",
26
"ownerType": "FE",
27
"entityOwned": "CI US HOLDINGS, INC.",
28
"status": "OWNER",
29
"dateStatusAcquired": "2019-11",
30
"ownershipCode": "F",
31
"isControlPerson": true,
32
"isPublicReporting": true,
33
"crd": ""
34
}
35
]
Response Structures of Schedule D APIs
Response: Schedule D - Section 1.B Other Business Names
The API returns all names and jurisdictions of all disclosed other business names in Schedule D, section 1.B of Form ADV. The response represents an array of objects. Each object has the following structure.
Response Structurename(string) - Business name used in listed jurisdictions.jurisdictions(array) - Array of strings of jurisdictions in which the business name is used.
Response Example: Section 1.B Other Business Names and Jurisdictions
JSON
1
[
2
{
3
"name": "MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC",
4
"jurisdictions": [
5
"AL",
6
"AK",
7
"AZ",
8
// ... more results
9
"WV",
10
"WI",
11
"Other: WY"
12
]
13
}
14
]
Response: Schedule D - Section 5.K (1-3) Separately Managed Accounts
The API returns all information about separately managed accounts disclosed in section 5.K (1-3) in Schedule D of Form ADV. The data encompasses the distribution of asset types (exchange traded equities, government bonds, derivatices, etc) for mid-year and end-year, borrowings and derivative exposures, as well as the custodians for each account. The response represents an object with each sub-section as a key.
Response Structure1-separatelyManagedAccounts(object) - Section 5.K (1) - Separately Managed Accountsa(object) - Item (a) for regulatory assets under management of at least $10 billion after subtracting the amounts reported in Item 5.D.3 (d-f).i-exchangeTradedEquity(object) - (i) Exchange-Traded Equity Securities, mid-year and end-of-year.ii-nonExchangeTradedEquity(object) - (ii) Non Exchange-Traded Equity Securities, mid-year and end-of-year.iii-usGovernmentBonds(object) - (iii) U.S. Government/Agency Bonds, mid-year and end-of-year.iv-usStateAndLocalBonds(object) - (iv) U.S. State and Local Bonds, mid-year and end-of-year.v-sovereignBonds(object) - (v) Sovereign Bonds, mid-year and end-of-year.vi-investmentGradeCorporateBonds(object) - (vi) Investment Grade Corporate Bonds, mid-year and end-of-year.vii-nonInvestmentGradeCorporateBonds(object) - (vii) Non-Investment Grade Corporate Bonds, mid-year and end-of-year.viii-derivatives(object) - (viii) Derivatives, mid-year and end-of-year.ix-registeredInvestmentCompanies(object) - (ix) Securities Issued by Registered Investment Companies or Business Development Companies, mid-year and end-of-year.x-pooledInvestmentVehicles(object) - (x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies), mid-year and end-of-year.xi-cash(object) - (xi) Cash and Cash Equivalents, mid-year and end-of-year.xii-other(object) - (xii) Other, mid-year and end-of-year.other(string) - Generally describe any assets included in "Other".
b(object) - Item (b) for regulatory assets under management less than $10 billion after subtracting the amounts reported in Item 5.D.3 (d-f).i-exchangeTradedEquity(object) - (i) Exchange-Traded Equity Securities, end-of-year.ii-nonExchangeTradedEquity(object) - (ii) Non Exchange-Traded Equity Securities, end-of-year.iii-usGovernmentBonds(object) - (iii) U.S. Government/Agency Bonds, end-of-year.iv-usStateAndLocalBonds(object) - (iv) U.S. State and Local Bonds, end-of-year.v-sovereignBonds(object) - (v) Sovereign Bonds, end-of-year.vi-investmentGradeCorporateBonds(object) - (vi) Investment Grade Corporate Bonds, end-of-year.vii-nonInvestmentGradeCorporateBonds(object) - (vii) Non-Investment Grade Corporate Bonds, end-of-year.viii-derivatives(object) - (viii) Derivatives, end-of-year.ix-registeredInvestmentCompanies(object) - (ix) Securities Issued by Registered Investment Companies or Business Development Companies, end-of-year.x-pooledInvestmentVehicles(object) - (x) Securities Issued by Pooled Investment Vehicles (other than Registered Investment Companies or Business Development Companies), end-of-year.xi-cash(object) - (xi) Cash and Cash Equivalents, end-of-year.xii-other(object) - (xii) Other, end-of-year.other(string) - Generally describe any assets included in "Other".
2-borrowingsAndDerivatives(object) - Section 5.K (2) - Use of Borrowings and Derivativesa-i-midYear(object) - (a)(i) Mid-year for regulatory assets under management attributable to separately managed accounts of at least $10 billion.regulatoryAssetsUnderManagement(object) - (1) Regulatory Assets Under Management, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.borrowings(object) - (2) Borrowings, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.derivativeExposures(object) - (3) Derivative Exposures, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more, per derivative type.lessThan10(object) - Derivative exposures with gross notional exposure of less than 10% for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.between10And149(object) - Derivative exposures with gross notional exposure between 10% and 149% for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.moreThan150(object) - Derivative exposures with gross notional exposure of 150% and more for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.
a-i-optional(string) - Narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you advise.a-ii-endOfYear(object) - (a)(ii) End of year for regulatory assets under management attributable to separately managed accounts of at least $10 billion.regulatoryAssetsUnderManagement(object) - (1) Regulatory Assets Under Management, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.borrowings(object) - (2) Borrowings, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.derivativeExposures(object) - (3) Derivative Exposures, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more, per derivative type.lessThan10(object) - Derivative exposures with gross notional exposure of less than 10% for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.between10And149(object) - Derivative exposures with gross notional exposure between 10% and 149% for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.moreThan150(object) - Derivative exposures with gross notional exposure of 150% and more for (a) interest rate, (b) foreign exchange, (c) credit, (d) equity, (e) commodity and (f) other derivatives.
a-ii-optional(string) - Narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you advise.b(object) - (b) For regulatory assets under management attributable to separately managed accounts of at least $500 million but less than $10 billion.regulatoryAssetsUnderManagement(object) - (1) Regulatory Assets Under Management, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.borrowings(object) - (2) Borrowings, distributed across three gross notional exposure classes, namely less than 10%, 10-149% and 150% or more.
b-optional(string) - Narrative description of the strategies and/or manner in which borrowings and derivatives are used in the management of the separately managed accounts that you advise.
3-custodiansForSeparatelyManagedAccounts(array of objects) - Section 5.K (3) - Custodians for Separately Managed Accountsa-legalName(string) - Legal name of custodianb-businessName(string) - Primary business name of custodianc-locations(array of objects) - The location(s) of the custodian's office(s) responsible for custody of the assets.d-isRelatedPerson(bool) -true, if the custodian is a related person of your firm,falseotherwise.e-secRegistrationNumber(string) - If the custodian is a broker-dealer, provide its SEC registration number (if any).f-lei(string) - If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any).g-amountHeldAtCustodian(string) - What amount of your regulatory assets under management attributable to separately managed accounts is held at the custodian?
Response Example: Section 5.K (1-3) Separately Managed Accounts
JSON
1
{
2
"1-separatelyManagedAccounts": {
3
"a": {
4
"i-exchangeTradedEquity": {
5
"midYear": "11 %",
6
"endOfYear": "12 %"
7
},
8
"ii-nonExchangeTradedEquity": {
9
"midYear": "2 %",
10
"endOfYear": "2 %"
11
},
12
"iii-usGovernmentBonds": {
13
"midYear": "0 %",
14
"endOfYear": "1 %"
15
},
16
"iv-usStateAndLocalBonds": {
17
"midYear": "0 %",
18
"endOfYear": "0 %"
19
},
20
"v-sovereignBonds": {
21
"midYear": "0 %",
22
"endOfYear": "0 %"
23
},
24
"vi-investmentGradeCorporateBonds": {
25
"midYear": "0 %",
26
"endOfYear": "0 %"
27
},
28
"vii-nonInvestmentGradeCorporateBonds": {
29
"midYear": "0 %",
30
"endOfYear": "0 %"
31
},
32
"viii-derivatives": {
33
"midYear": "0 %",
34
"endOfYear": "0 %"
35
},
36
"ix-registeredInvestmentCompanies": {
37
"midYear": "67 %",
38
"endOfYear": "64 %"
39
},
40
"x-pooledInvestmentVehicles": {
41
"midYear": "0 %",
42
"endOfYear": "0 %"
43
},
44
"xi-cash": {
45
"midYear": "4 %",
46
"endOfYear": "5 %"
47
},
48
"xii-other": {
49
"midYear": "16 %",
50
"endOfYear": "18 %"
51
},
52
"other": "5.K.(1)(A)(VIII) INCLUDES DERIVATIVE POSITIONS CLASSIFIED AS ASSETS FOR FINANCIAL ACCOUNTING PURPOSES ONLY AND DERIVATIVES REFLECTED AS ASSETS ON FINANCIAL STATEMENTS. PWM DERIVATIVE POSITIONS CLASSIFIED AS LIABILITIES ARE REFLECTED IN \"OTHER\". TOTAL PWM DERIVATIVE POSITIONS CLASSIFIED AS LIABILITIES FOR MID-YEAR AND END OF YEAR ARE $(524,010,268.50) AND $(136,484,011.87), RESPECTIVELY. SEE SCHEDULE D MISC. FOR MORE INFORMATION. \"OTHER\" ALSO INCLUDES STRUCTURED NOTES."
53
},
54
"b": {
55
"i-exchangeTradedEquity": {
56
"endOfYear": "%"
57
},
58
"ii-nonExchangeTradedEquity": {
59
"endOfYear": "%"
60
},
61
"iii-usGovernmentBonds": {
62
"endOfYear": "%"
63
},
64
"iv-usStateAndLocalBonds": {
65
"endOfYear": "%"
66
},
67
"v-sovereignBonds": {
68
"endOfYear": "%"
69
},
70
"vi-investmentGradeCorporateBonds": {
71
"endOfYear": "%"
72
},
73
"vii-nonInvestmentGradeCorporateBonds": {
74
"endOfYear": "%"
75
},
76
"viii-derivatives": {
77
"endOfYear": "%"
78
},
79
"ix-registeredInvestmentCompanies": {
80
"endOfYear": "%"
81
},
82
"x-pooledInvestmentVehicles": {
83
"endOfYear": "%"
84
},
85
"xi-cash": {
86
"endOfYear": "%"
87
},
88
"xii-other": {
89
"endOfYear": "%"
90
},
91
"other": ""
92
}
93
},
94
"2-borrowingsAndDerivatives": {
95
"a-i-midYear": {
96
"regulatoryAssetsUnderManagement": {
97
"lessThan10": "$ 72,400,095,645",
98
"between10And149": "$ 3,938,290,710",
99
"moreThan150": "$ 37,382,686"
100
},
101
"borrowings": {
102
"lessThan10": "$ 0",
103
"between10And149": "$ 67,247,282",
104
"moreThan150": "$ 11,827,826"
105
},
106
"derivativeExposures": {
107
"lessThan10": {
108
"interestRate": "%",
109
"foreignExchange": "0 %",
110
"credit": "%",
111
"equity": "0 %",
112
"commodity": "%",
113
"other": "%"
114
},
115
"between10And149": {
116
"interestRate": "%",
117
"foreignExchange": "8 %",
118
"credit": "%",
119
"equity": "19 %",
120
"commodity": "%",
121
"other": "%"
122
},
123
"moreThan150": {
124
"interestRate": "%",
125
"foreignExchange": "392 %",
126
"credit": "%",
127
"equity": "15,166 %",
128
"commodity": "%",
129
"other": "%"
130
}
131
}
132
},
133
"a-i-optional": "PRIVATE WEALTH MANAGEMENT (\"PWM\") GOLDMAN SACHS OPTION ADVISORY SERVICES (\"GOAS\") STRATEGIES ARE MANAGED OPTIONS STRATEGIES THAT GENERALLY INVOLVE SELLING AND BUYING SHORT DATED OPTIONS. CERTAIN GOAS STRATEGIES ARE SIZED BASED ON CLIENT POSITIONS FOR WHICH PWM DOES NOT PROVIDE CONTINUOUS AND REGULAR SUPERVISORY OR MANAGEMENT SERVICES AS PART OF THE GOAS STRATEGY. THESE POSITIONS ARE EXCLUDED FROM THE CALCULATION OF REGULATORY ASSETS UNDER MANAGEMENT FOR THE GOAS STRATEGIES. AS A RESULT, UNDER CERTAIN CIRCUMSTANCES, THE REPORTED CALCULATION OF GROSS NOTIONAL EXPOSURE WILL REFLECT HIGHER DERIVATIVE EXPOSURES THAN IF THE POSITIONS USED TO SIZE CERTAIN GOAS STRATEGIES WERE INCLUDED IN THE CALCULATION.",
134
"a-ii-endOfYear": {
135
"regulatoryAssetsUnderManagement": {
136
"lessThan10": "$ 72,790,980,016",
137
"between10And149": "$ 6,096,656,473",
138
"moreThan150": "$ 493,387,055"
139
},
140
"borrowings": {
141
"lessThan10": "$ 0",
142
"between10And149": "$ 1,047,149",
143
"moreThan150": "$ 370,133"
144
},
145
"derivativeExposures": {
146
"lessThan10": {
147
"interestRate": "%",
148
"foreignExchange": "0 %",
149
"credit": "%",
150
"equity": "0 %",
151
"commodity": "%",
152
"other": "%"
153
},
154
"between10And149": {
155
"interestRate": "%",
156
"foreignExchange": "5 %",
157
"credit": "%",
158
"equity": "10 %",
159
"commodity": "%",
160
"other": "%"
161
},
162
"moreThan150": {
163
"interestRate": "%",
164
"foreignExchange": "29 %",
165
"credit": "%",
166
"equity": "464 %",
167
"commodity": "%",
168
"other": "%"
169
}
170
}
171
},
172
"a-ii-optional": "PRIVATE WEALTH MANAGEMENT (\"PWM\") GOLDMAN SACHS OPTION ADVISORY SERVICES (\"GOAS\") STRATEGIES ARE MANAGED OPTIONS STRATEGIES THAT GENERALLY INVOLVE SELLING AND BUYING SHORT DATED OPTIONS. CERTAIN GOAS STRATEGIES ARE SIZED BASED ON CLIENT POSITIONS FOR WHICH PWM DOES NOT PROVIDE CONTINUOUS AND REGULAR SUPERVISORY OR MANAGEMENT SERVICES AS PART OF THE GOAS STRATEGY. THESE POSITIONS ARE EXCLUDED FROM THE CALCULATION OF REGULATORY ASSETS UNDER MANAGEMENT FOR THE GOAS STRATEGIES. AS A RESULT, UNDER CERTAIN CIRCUMSTANCES, THE REPORTED CALCULATION OF GROSS NOTIONAL EXPOSURE WILL REFLECT HIGHER DERIVATIVE EXPOSURES THAN IF THE POSITIONS USED TO SIZE CERTAIN GOAS STRATEGIES WERE INCLUDED IN THE CALCULATION.",
173
"b": {
174
"regulatoryAssetsUnderManagement": {
175
"lessThan10": "$",
176
"between10And149": "$",
177
"moreThan150": "$"
178
},
179
"borrowings": {
180
"lessThan10": "$",
181
"between10And149": "$",
182
"moreThan150": "$"
183
}
184
}
185
},
186
"3-custodiansForSeparatelyManagedAccounts": [
187
{
188
"a-legalName": "GOLDMAN SACHS & CO. LLC",
189
"b-businessName": "GOLDMAN SACHS & CO. LLC",
190
"c-locations": [
191
{
192
"city": "NEW YORK",
193
"state": "New York",
194
"country": "United States"
195
}
196
],
197
"d-isRelatedPerson": false,
198
"e-secRegistrationNumber": "8 - 129",
199
"f-lei": "",
200
"g-amountHeldAtCustodian": "$ 77,443,529,672"
201
}
202
]
203
}
Response: Schedule D - Section 7.A Financial Industry Affiliations
The API returns all financial industry affiliations and related persons data disclosed in Schedule D, section 7.A of Form ADV. The response represents an array of related person objects. Each object has the following structure.
Response Structure1-nameOfRelatedPerson(string) - Legal name of related person, e.g. "STEGENT FINANCIAL SERVICES, PC".2-businessName(string) - Primary business name of related person, e.g. "STEGENT FINANCIAL SERVICES, PC".3-secFileNumber(string) - Related person's SEC file number (if any). Value starts with801,8,866or802, e.g.80143561.4a-crdNumber(string) - Related person's CRD number (if any), e.g.28218.4b-cikNumbers(array) - Array of related person's CIK numbers (if any), e.g.[ "1483835" ].5-typesOfRelatedPerson(array) - Array of related person's types, e.g.[ "a-brokerBealer", "l-insuranceCompany" ]. See the list of possible values below.6-controlsRelatedPerson(bool) - Answer to: Do you control or are you controlled by the related person?trueis "Yes",falseis "No".7-underCommonControl(bool) - Answer to: Are you and the related person under common control?trueis "Yes",falseis "No".8a-relatedPersonActsAsCustodian(bool) - Answer to: Does the related person act as a qualified custodian for your clients in connection with advisory services you provide to clients?trueis "Yes",falseis "No".8b-notOperationallyIndependent(bool) - Answer to: If you are registering or registered with the SEC and you have answered "yes," to question 8.(a) above, have you overcome the presumption that you are not operationally independent (pursuant to rule 206(4)-2(d)(5)) from the related person and thus are not required to obtain a surprise examination for your clients' funds or securities that are maintained at the related person?trueis "Yes",falseis "No".8c-locationOfRelatedPerson(object) - Object of related person's office location. Keys:street1,street2,city,state,country,zipCode.9a-exemptFromRegistration(bool) - Answer to: If the related person is an investment adviser, is it exempt from registration?trueis "Yes",falseis "No".9b-exemption(string) - Answer to: If the answer is to 9.A is "yes", under what exemption? Example:EXEMPT REPORTING ADVISER.10a-registeredWithForeignRegulator(bool) - Answer to: Is the related person registered with a foreign financial regulatory authority?trueis "Yes",falseis "No".10b-foreignRegulator(array) - Array of strings of foreign financial regulatory authorities with which the related person is registered. Example:[ "United Kingdom - Financial Conduct Authority" ].11-shareSupervisedPersons(bool) - Answer to: Do you and the related person share any supervised persons?trueis "Yes",falseis "No".12-shareSameLocation(bool) - Answer to: Do you and the related person share the same physical location?trueis "Yes",falseis "No".
Types of Related Person (Item 5 a-p)
| Key | Form ADV Value |
| a-brokerBealer | (a) broker-dealer, municipal securities dealer, or government securities broker or dealer |
| b-otherAdviser | (b) other investment adviser (including financial planners) |
| c-municipalAdvisor | (c) registered municipal advisor |
| d-swapDealer | (d) registered security-based swap dealer |
| e-swapParticipant | (e) major security-based swap participant |
| f-commodityPoolOperator | (f) commodity pool operator or commodity trading advisor (whether registered or exempt from registration) |
| g-futuresCommissionMerchant | (g) futures commission merchant |
| h-bankingThriftingInstitution | (h) banking or thrift institution |
| i-trustCompany | (i) trust company |
| j-accountant | (j) accountant or accounting firm |
| k-lawyer | (k) lawyer or law firm |
| l-insuranceCompany | (l) insurance company or agency |
| m-pensionConsultant | (m) pension consultant |
| n-realEstateBroker | (n) real estate broker or dealer |
| o-sponsorExcludingPooledInvestmentVehicles | (o) sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles |
| p-sponsorOfPooledInvestmentVehicles | (p) sponsor, general partner, managing member (or equivalent) of pooled investment vehicles |
Response Example: Section 7.A Financial Industry Affiliations & Related Persons
JSON
1
[
2
{
3
"1-nameOfRelatedPerson": "GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL",
4
"2-businessName": "GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL",
5
"3-secFileNumber": "80138157",
6
"4a-crdNumber": "107715",
7
"4b-cikNumbers": ["919361"],
8
"5-typesOfRelatedPerson": [
9
"b-otherAdviser",
10
"f-commodityPoolOperator",
11
"m-pensionConsultant",
12
"p-sponsorOfPooledInvestmentVehicles"
13
],
14
"6-controlsRelatedPerson": false,
15
"7-underCommonControl": true,
16
"8a-relatedPersonActsAsCustodian": false,
17
"8b-notOperationallyIndependent": false,
18
"8c-locationOfRelatedPerson": {
19
"street1": "",
20
"street2": "",
21
"city": "",
22
"state": "",
23
"zipCode": "",
24
"country": ""
25
},
26
"9a-exemptFromRegistration": false,
27
"9b-exemption": "",
28
"10a-registeredWithForeignRegulator": true,
29
"10b-foreignRegulator": [
30
"Canada - Alberta Securities Commission",
31
"Canada - British Columbia Securities Commission",
32
"Canada - Ontario Securities Commission",
33
"Canada - Quebec, Financial Markets Authority",
34
"China, People's Republic of - China Securities Regulatory Commission ",
35
"South Africa - Financial Services Board",
36
"South Korea - Financial Supervisory Commission / Financial Supervisory Service",
37
"Taiwan - Financial Supervisory Commission",
38
"United Kingdom - Financial Conduct Authority"
39
],
40
"11-shareSupervisedPersons": false,
41
"12-shareSameLocation": false
42
},
43
{
44
"1-nameOfRelatedPerson": "GOLDMAN SACHS BANK AG",
45
"2-businessName": "GOLDMAN SACHS BANK AG",
46
"3-secFileNumber": "",
47
"4a-crdNumber": "",
48
"4b-cikNumbers": ["1098457"],
49
"5-typesOfRelatedPerson": [
50
"a-brokerBealer",
51
"h-bankingThriftingInstitution"
52
],
53
"6-controlsRelatedPerson": false,
54
"7-underCommonControl": true,
55
"8a-relatedPersonActsAsCustodian": true,
56
"8b-notOperationallyIndependent": false,
57
"8c-locationOfRelatedPerson": {
58
"street1": "CLARIDENSTRASSE 25",
59
"street2": "",
60
"city": "ZURICH",
61
"state": "",
62
"zipCode": "CH-8002 CHE",
63
"country": "Switzerland"
64
},
65
"9a-exemptFromRegistration": false,
66
"9b-exemption": "",
67
"10a-registeredWithForeignRegulator": true,
68
"10b-foreignRegulator": [
69
"Other - SWISS BANKERS ASSOCIATION",
70
"Other - SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY",
71
"Other - SWITZERLAND - SIX SWISS EXCHANGE",
72
"Other - SWITZERLAND - SWISS NATIONAL BANK",
73
"Switzerland - Swiss Financial Market Supervisory Authority"
74
],
75
"11-shareSupervisedPersons": false,
76
"12-shareSameLocation": false
77
}
78
// ... more results
79
]
Response: Schedule D - Section 7.B.1 Private Funds
The API returns all private fund information disclosed in Item 7.B.1:
| Section | Item ID |
| Information about the private fund | 1 - 11 |
| Ownership | 12 - 16 |
| Advisory services | 17 - 20 |
| Private offering | 21 - 22 |
| Auditors | 23 |
| Prime brokers | 24 |
| Custodians | 25 |
| Administrators | 26 - 27 |
| Marketers | 28 |
privateFunds(array of objects) - Array of private funds listed under Item 7.B.1 Private Fund Reporting, disclosed in Schedule D.1a-nameOfFund(string) - 1.a. Name of the private fund. Example:FUSION FUND I, LP1b-fundIdentificationNumber(string) - 1.b. Private fund identification number, including the "805-" prefix. Example:805-68227277152-lawOrganizedUnder(object) - 2. Under the laws of what state or country is the private fund organized.state(string) - State. Example:Delawarecountry(string) - Country. Example:United States
3a-namesOfGeneralPartnerManagerTrusteeDirector(array of strings) - 3.a. Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity).3b-filingAdvisers(array of strings) - 3.b. If filing an umbrella registration, identify the filing adviser and/or relying adviser(s) that sponsor(s) or manage(s) this private fund.4-1-exclusionUnder3c1(boolean) - 4.1. The private fund qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940.trueif checked,falseotherwise.4-2-exclusionUnder3c7(boolean) - 4.2. The private fund qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940.trueif checked,falseotherwise.5-nameCountryOfForeignFinancialRegAuthority(array of strings) - 5. List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered.6a-isMasterFundInMasterFeederArrangement(boolean) - 6.a. Is this a "master fund" in a master-feeder arrangement?trueif "Yes" selected,falseotherwise.6b-nameIdOfFeederFunds(array of objects) - 6.b. If yes, what is the name and private fund identification number (if any) of the feeder funds investing in this private fund?name(string) - Name of private fund.identificationNumber(string) - Private fund identification number.
6c-isFeederFundInMasterFeederAgreement(boolean) - 6.c. Is this a "feeder fund" in a master-feeder arrangement?trueif "Yes" selected,falseotherwise.6d-nameIdOfMasterFund(string) - 6.d. If yes, what is the name and private fund identification number (if any) of the master fund in which this private fund invests?7a-f-feederFundDetails(array of objects) - 7.a-f. If you are filing a single Schedule D, Section 7.B.(1) for a master-feeder arrangement according to the instructions to this Section 7.B.(1), for each of the feeder funds answer the following questions:7a-name(string) - 7.a. Name of fund.7b-identificationNumber(string) - 7.b. Fund identification number including the "805-" prefix.7c-lawOrganizedUnder(object) - 7.c. Under the laws of what state or country is the fund organized.7d-1-namesOfGeneralPartnerManagerTrusteeDirector(array of strings) - 7.d.1 Name(s) of General Partner, Manager, Trustee, or Directors (or persons serving in a similar capacity).7d-2-adviserActingAsSponsorManager(string) - 7.d.2. If filing an umbrella registration, identify the filing adviser and/or relying adviser(s) that sponsor(s) or manage(s) this private fund.7e-1-exclusionUnder3c1(boolean) - 7.e.1. The fund qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940.trueif checked,falseotherwise.7e-2-exclusionUnder3c7(boolean) - 7.e.2. The fund qualifies for the exclusion from the definition of investment company under section 3(c)(7) of the Investment Company Act of 1940.trueif checked,falseotherwise.7f-nameCountryOfForeignRegAuthority(array of strings) - 7.f. List the name and country, in English, of each foreign financial regulatory authority with which the private fund is registered.
8a-isFundOfFunds(boolean) - 8.a. Is this private fund a "fund of funds"?8b-investsInFundsManagedByYouRelatedPerson(boolean) - 8.b. If 8.a. is yes, does the private fund invest in funds managed by you or by a related person?9-investsInSecuritiesAccordingTo6e(boolean) - 9. During your last fiscal year, did the private fund invest in securities issued by investment companies registered under the Investment Company Act of 1940 (other than "money market funds," to the extent provided in Instruction 6.e.)?10-typeOfFund(object) - 10. What type of fund is the private fund?selectedTypes(array of strings) - Possible values: hedge fund, liquidity fund, private equity fund, real estate fund, securitized asset fund, venture capital fund, other private fund.otherFundType(string) - Type of other fund, ifselectedTypesis other private fund.
11-grossAssetValue(number) - 11. Current gross asset value of the private fund.12-minInvestmentCommitment(number) - 12. Minimum investment commitment required of an investor in the private fund.13-numberOfBeneficialOwners(number) - 13. Approximate number of the private fund's beneficial owners.14-percentageOwnedByYou(number) - 14. What is the approximate percentage of the private fund beneficially owned by you and your related persons.15a-percentageOwnedByFundsOfFunds(number) - 15.a. What is the approximate percentage of the private fund beneficially owned (in the aggregate) by funds of funds.15b-salesAreLimited(boolean) - 15.b. If the private fund qualifies for the exclusion from the definition of investment company under section 3(c)(1) of the Investment Company Act of 1940, are sales of the fund limited to qualified clients?16-percentageOwnedByNonUnitedStatesPersons(number) - 16. What is the approximate percentage of the private fund beneficially owned by non-United States persons.17a-isSubadviser(boolean) - 17.a. Are you a subadviser to this private fund?17b-nameAndSecFileNumber(string) - 17.b. If the answer to question 17.(a) is "yes," provide the name and SEC file number, if any, of the adviser of the private fund. If the answer to question 17.(a) is "no," leave this question blank.18a-investmentAdvisersAdviseFund(boolean) - 18.a. Do any investment advisers (other than the investment advisers listed in Section 7.B.(1).A.3.(b)) advise the private fund?18b-otherAdvisers(array of strings) - 18.b. If the answer to question 18.(a) is "yes," provide the name and SEC file number, if any, of the other advisers to the private fund. If the answer to question 18.(a) is "no," leave this question blank.19-clientsAreSolicited(boolean) - 19. Are your clients solicited to invest in the private fund?20-percentageClientsInvestedInFund(number) - 20. Approximately what percentage of your clients has invested in the private fund?21-fundReliedOnExemption(boolean) - 21. Has the private fund ever relied on an exemption from registration of its securities under Regulation D of the Securities Act of 1933?22-formDFileNumbers(array of strings) - 22. If yes, provide the private fund's Form D file number(s) (if any). Example:021-257826.23a-1-financialStatementsAreSubjectToAnnualAudit(boolean) - 23.a.1. Are the private fund's financial statements subject to an annual audit?23a-2-financialStatementsPreparedWithUsGaap(boolean) - 23.a.2. If the answer to question 23.(a)(1) is "yes," are the financial statements prepared in accordance with U.S. GAAP?23b-f-auditors(array of objects) - 23.b-f. Auditors. If the answer to question 23.(a)(1) is "yes," respond to questions (b) through (h) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm.23b-name(string) - 23.b. Name of the auditing firm.23c-location(object) - 23.c. The location of the auditing firm's office responsible for the private fund's audit (city, state and country).23d-isIndependentPublicAccountant(boolean) - 23.d. Is the auditing firm an independent public accountant?23e-isRegistered(boolean) - 23.e. Is the auditing firm registered with the Public Company Accounting Oversight Board?23e-boardAssignedNumber(string) - 23.e. If yes, Public Company Accounting Oversight Board-Assigned Number.23f-isSubjectToInspection(boolean) - 23.f. If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules?
23g-financialStatementsDistributedToInvestors(boolean) - 23.g. Are the private fund's audited financial statements for the most recently completed fiscal year distributed to the private fund's investors?23h-reportsIncludeUnqualifiedOpinions(string) - 23.h. Do all of the reports prepared by the auditing firm for the private fund since your last annual updating amendment contain unqualified opinions? Possible values:yes,no,report not yet received.24a-fundUsesPrimeBrokers(boolean) - 24.a. Does the private fund use one or more prime brokers?24b-e-primeBrokers(array of objects) - 24.b-e. Prime brokers. If the answer to question 24.(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker.24b-name(string) - 24.b. Name of the prime broker.24c-1-secRegistrationNumber(string) - 24.c. If the prime broker is registered with the SEC, its registration number.24c-2-crdNumber(string) - 24.c. CRD Number (if any).24d-location(object) - 24.d. Location of prime broker's office used principally by the private fund (city, state and country).24e-actsAsCustodian(boolean) - 24.e. Does this prime broker act as custodian for some or all of the private fund's assets?
25a-fundUsesCustodians(boolean) - 25.a. Does the private fund use any custodians (including the prime brokers listed above) to hold some or all of its assets?25b-g-custodians(array of objects) - 25.b-g. Custodians. If the answer to question 25.(a) is "yes," respond to questions (b) through (g) below for each custodian the private fund uses. If the private fund uses more than one custodian, you must complete questions (b) through (g) separately for each custodian.25b-legalName(string) - 25.b. Legal name of custodian.25c-businessName(string) - 25.c. Primary business name of custodian.25d-location(object) - 25.d. The location of the custodian's office responsible for custody of the private fund's assets (city, state and country).25e-isRelatedPerson(boolean) - 25.e. Is the custodian a related person of your firm?25f-1-secRegistrationNumber(string) - 25.f. If the custodian is a broker-dealer, provide its SEC registration number (if any).25f-2-crdNumber(string) - 25.f. CRD Number (if any).25g-legalEntityIdentifier(string) - 25.g. If the custodian is not a broker-dealer, or is a broker-dealer but does not have an SEC registration number, provide its legal entity identifier (if any).
26a-fundUsesAdministrators(boolean) - 26.a. Does the private fund use an administrator other than your firm?26b-f-administrators(array of objects) - 26.b-f. Administrators. If the answer to question 26.(a) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one administrator, you must complete questions (b) through (f) separately for each administrator.26b-name(string) - 26.b. Name of administrator.26c-location(object) - 26.c. Location of administrator (city, state and country).26d-isRelatedPerson(boolean) - 26.d. Is the administrator a related person of your firm?26e-statementsProvidedTo(string) - 26.e. Does the administrator prepare and send investor account statements to the private fund's investors? Possible values:all investors,some investors,no investors.26f-statementsSentBy(string) - 26.f. If the answer to question 26.(e) is "no" or "some," who sends the investor account statements to the (rest of the) private fund's investors? If investor account statements are not sent to the (rest of the) private fund's investors, respond "not applicable."
27-percentageOfAssetsValuedNotByRelatedPerson(number) - 27. During your last fiscal year, what percentage of the private fund's assets (by value) was valued by a person, such as an administrator, that is not your related person?28a-fundUsesMarketers(boolean) - 28.a. Does the private fund use the services of someone other than you or your employees for marketing purposes?28b-g-marketers(array of objects) - 28.b-g. Marketers. You must answer "yes" whether the person acts as a placement agent, consultant, finder, introducer, municipal advisor or other solicitor, or similar person. If the answer to question 28.(a) is "yes," respond to questions (b) through (g) below for each such marketer the private fund uses. If the private fund uses more than one marketer you must complete questions (b) through (g) separately for each marketer.28b-isRelatedPerson(boolean) - 28.b. Is the marketer a related person of your firm?28c-name(string) - 28.c. Name of the marketer.28d-secNumber(string) - 28.d. If the marketer is registered with the SEC, its file number (e.g., 801-, 8-, or 866-).28d-crdNumber(string) - 28.d. CRD Number (if any).28e-location(object) - 28.e. Location of the marketer's office used principally by the private fund (city, state and country).28f-marketsThroughWebsites(boolean) - 28.f. Does the marketer market the private fund through one or more websites?28g-websiteAddresses(string) - 28.g. If the answer to question 28.(f) is "yes," list the website address(es).
Response Example: Item 7.B.1 Private Funds
JSON
1
[
2
{
3
"1a-nameOfFund": "APICORP MANAGED ACCOUNT INVESTMENT VEHICLE, L.P.",
4
"1b-fundIdentificationNumber": "805-3816384978",
5
"2-lawOrganizedUnder": {
6
"state": "",
7
"country": "Cayman Islands"
8
},
9
"3a-namesOfGeneralPartnerManagerTrusteeDirector": [
10
"WEST STREET CAPITAL PARTNERS VII ADVISORS, LLC"
11
],
12
"3b-filingAdvisers": "No Information Filed",
13
"4-1-exclusionUnder3c1": true,
14
"4-2-exclusionUnder3c7": true,
15
"5-nameCountryOfForeignFinancialRegAuthority": [
16
"Cayman Islands - Cayman Islands Monetary Authority"
17
],
18
"6a-isMasterFundInMasterFeederArrangement": true,
19
"6b-nameIdOfFeederFunds": [
20
{
21
"name": "CARDINAL ADVISOR SERIES- INTERNATIONAL VALUE EQUITY L.P.",
22
"identificationNumber": "805-4005925210"
23
}
24
],
25
"6c-isFeederFundInMasterFeederAgreement": false,
26
"6d-nameIdOfMasterFund": "",
27
"7a-f-feederFundDetails": [
28
{
29
"7a-name": "CARDINAL ADVISOR SERIES-INTERNATIONAL VALUE EQUITY, L.P.",
30
"7b-identificationNumber": "805-4005925210",
31
"7c-lawOrganizedUnder": {
32
"state": "Delaware",
33
"country": "United States"
34
},
35
"7d-1-namesOfGeneralPartnerManagerTrusteeDirector": [
36
"ADVISOR SERIES GP, LTD (GENERAL PARTNER)",
37
"LAREN GILLESPIE (DIRECTOR FOR THE GENERAL PARTNER)",
38
"MICHELLE WILSON-CLARKE (DIRECTOR FOR THE GENERAL PARTNER)"
39
],
40
"7d-2-adviserActingAsSponsorManager": "No Information Filed",
41
"7e-1-exclusionUnder3c1": false,
42
"7e-2-exclusionUnder3c7": true
43
}
44
],
45
"8a-isFundOfFunds": false,
46
"8b-investsInFundsManagedByYouRelatedPerson": false,
47
"9-investsInSecuritiesAccordingTo6e": false,
48
"10-typeOfFund": {
49
"selectedTypes": ["private equity fund"]
50
},
51
"11-grossAssetValue": 454061508,
52
"12-minInvestmentCommitment": 0,
53
"13-numberOfBeneficialOwners": 3,
54
"14-percentageOwnedByYou": 0,
55
"15a-percentageOwnedByFundsOfFunds": 0,
56
"15b-salesAreLimited": true,
57
"16-percentageOwnedByNonUnitedStatesPersons": 100,
58
"17a-isSubadviser": false,
59
"17b-nameAndSecFileNumber": "No Information Filed",
60
"18a-investmentAdvisersAdviseFund": false,
61
"18b-otherAdvisers": [
62
{
63
"name": "ARTISAN PARTNERS LIMITED PARTNERSHIP",
64
"secFileNumber": "801-70101",
65
"crdNumber": "150114"
66
}
67
],
68
"19-clientsAreSolicited": true,
69
"20-percentageClientsInvestedInFund": 0,
70
"21-fundReliedOnExemption": false,
71
"22-formDFileNumbers": ["021-102195", "021-113821"],
72
"23a-1-financialStatementsAreSubjectToAnnualAudit": true,
73
"23a-2-financialStatementsPreparedWithUsGaap": true,
74
"23b-f-auditors": [
75
{
76
"23b-name": "PRICEWATERHOUSECOOPERS LLP",
77
"23c-location": {
78
"city": "NEW YORK",
79
"state": "New York",
80
"country": "United States"
81
},
82
"23d-isIndependentPublicAccountant": true,
83
"23e-isRegistered": true,
84
"23e-boardAssignedNumber": "238",
85
"23f-isSubjectToInspection": true
86
}
87
],
88
"23g-financialStatementsDistributedToInvestors": true,
89
"23h-reportsIncludeUnqualifiedOpinions": "yes",
90
"24a-fundUsesPrimeBrokers": true,
91
"24b-e-primeBrokers": [
92
{
93
"24b-name": "STIFEL, NICOLAUS & COMPANY, INCORPORATED",
94
"24c-1-secRegistrationNumber": "8 - 1447",
95
"24c-2-crdNumber": "793",
96
"24d-location": {
97
"city": "ST. LOUIS",
98
"state": "Missouri",
99
"country": "United States"
100
},
101
"24e-actsAsCustodian": true
102
}
103
],
104
"25a-fundUsesCustodians": true,
105
"25b-g-custodians": [
106
{
107
"25b-legalName": "ABN AMRO BANK N.V",
108
"25c-businessName": "ABN AMRO BANK N.V",
109
"25d-location": {
110
"city": "GUSTAV MAHLERLAAN",
111
"state": "",
112
"country": "Netherlands"
113
},
114
"25e-isRelatedPerson": false,
115
"25f-1-secRegistrationNumber": "-",
116
"25f-2-crdNumber": "",
117
"25g-legalEntityIdentifier": ""
118
}
119
],
120
"26a-fundUsesAdministrators": true,
121
"26b-f-administrators": [
122
{
123
"26b-name": "SEI ARCHWAY TECHNOLOGY PARTNERS, LLC",
124
"26c-location": {
125
"city": "INDIANAPOLIS",
126
"state": "Indiana",
127
"country": "United States"
128
},
129
"26d-isRelatedPerson": false,
130
"26e-statementsProvidedTo": "all investors",
131
"26f-statementsSentBy": "SEI ARCHWAY TECHNOLOGY PARTNERS PREPARES THE STATEMENTS, BUT STIFEL NICOLAUS MAILS THE STATEMENTS"
132
}
133
],
134
"27-percentageOfAssetsValuedNotByRelatedPerson": 0,
135
"28a-fundUsesMarketers": true,
136
"28b-g-marketers": [
137
{
138
"28b-isRelatedPerson": false,
139
"28c-name": "CARDO HOLDINGS C.R.S. LTD.",
140
"28d-secNumber": "-",
141
"28d-crdNumber": "",
142
"28e-location": {
143
"city": "TEL AVIV",
144
"state": "",
145
"country": "Israel"
146
},
147
"28f-marketsThroughWebsites": false,
148
"28g-websiteAddresses": "No Information Filed"
149
}
150
]
151
}
152
]
Response: Individual Investment Adviser Representative Search
filings(array) - An array of ADV filings matching your search query. Each array item represents an entire ADV filing.Info(object) - Info node contains basic information describing the individual.indvlPK(number) - Individual's CRD #actvAGReg(string) - Identifies if individual has Active AG Registration. Allowed values:Y= yes,N= no.lastNm(string) - Individual's Last NamefirstNm(string) - Individual's First NamemidNm(string) - Individual's Middle NamesufNm(string) - Individual's Suffix Namelink(string) - Link URL to the individual's composite in IAPD, e.g. https://adviserinfo.sec.gov/individual/summary/7609153
OthrNms(object) - OtherNames node contains a collection of names that an individual has used or is using, or by which they are known or have been known, other their legal name, since the age of 18. This would include, for example, nicknames, aliases, and names used before or after marriage.CrntEmps(object) - Current Employment node contains collection of active employment detailsCrntEmp(array)CrntRgstns(object) - The CurrentRegistrations node contains a collection of registration details for the individual.CrntRgstn(array)regAuth(string) - The state code of the regulatory authority, e.g.FLfor Florida.regCat(string) - The Registration Category. Representative Registration Category/Position with the Regulator. Allowed values are: RA (Investment Advisor Representative)st(string) - The current registration status. Allowed values (Code-Description) are: ABANDONED-Abandoned, ADMTERM-Administrative Termination, APPRNT-Approved Pending Prints, APPROVED-Approved APPROVED_RES-Restricted Approval, APRSLTS-Approved Pending Results, BAR-Bar, CE2_YEAR_TRMD-Termed CE Two Year Inactive, CE_INACTIVE-Inactive - Continuing Education, DEFICIENT-Deficient, DENIED-Denied, FTR-Terminated Failure to Renew, INACTIVE_PRINTS-Inactive - Prints, MASS_TRNSF-Termed Mass Transfer, PENDING-Pending, PURGED-Purged REJECTED-Rejected, REQUAL-Requalification REQUEST_TERM-Termination Requested, REVOKED-Revoked SUSPENSION-Suspended, T_NOREG-Termed Without Registration, T_NOREG_FTR-Terminated no registration Renewals, T_NOREG_MT-Terminated no registration Mass Transfer, T_NOU5-Terminated Without U5, T_NOMT-Termed-Did Not Mass Transfer, T_NOMTNOREG-Terminated no reg.-Did Not Mass Transfer, TEMPREG-Temporary Registration, TEMP_WD-Temporary Withdrawal, TERMED-Termed, TRANS_RQST-Transition Requested, TRANS_TERM-Transition Terminated, TRANS_ERROR-Not Transitioned - Filed In ErrorstDt(date) - The date a status change was posted to the system. (YYYY-MM-DD)
BrnchOfLocs(object) - The BranchOfficeLocs node contains one of many deficiencies for the individual registration.orgNm(string) - Firm's business name from the IARD composite record.orgPK(number) - Firm's CRD number.str1(string)str2(string)city(string)state(string)cntry(string)postlCd(string)
Exms(object) - Exams node contains a collection of exam nodes each describing details about an individual's passed state exams (S63,S64,S65,S66).Exm(array) - The Exam node contains one of many state exam details for the individual.exmCd(string) - The Exam Code. Allowed values (Code-Description) are: S63-Uniform Securities Agent State Law Examination, S64-NASAA Real Estate Securities Exam, S65-Uniform Investment Adviser Law Examination, S66-Uniform Combined State Law ExaminationexmNm(string) - The Exam Name.exmDt(date) - The date the exam was taken. (YYYY-MM-DD)
Dsgntns(object) - This node describes a collection of professional designations information for the individual.Dsgntn(array)dsgntnNm(string) - The designation code.
PrevRgstns(object) - The PreviousRegistration node contains registrations previously held by the individual.PrevRgstn(array)BrnchOfLocs(array) - The BranchOfficeLocs node contains one of many deficiencies for the individual registration.orgNm(string) - Firm's business name from the IARD composite record.orgPK(number) - Firm's CRD number.regBeginDt(date) - The Registration Begin date. (YYYY-MM-DD)regEndDt(date) - The Registration End date. (YYYY-MM-DD)
EmpHss(object) - The EmploymentHistories node contains a collection of employment history details for the individual.EmpHs(array)fromDt(string) - The Employment Begin date. (MM/YYYY)toDt(string) - The Employment End date. (MM/YYYY)orgNm(string) - The organization namecity(string) - City of Employment.state(string) - State of Employment.
OthrBuss(object) - This node describes a collection of other businesses for the individual.DRPs(object) - The DRPs node contains a collection of reportable and disclosable DRPs for the individual.DRP(array)hasRegAction(string) - Flag to indicate the indvl has RegAction DRP. Allowed values:Y= yes,N= no.hasCriminal(string) - Flag to indicate the indvl has Criminal DRP. Allowed values:Y= yes,N= no.hasBankrupt(string) - Flag to indicate the indvl has Bankrupt DRP. Allowed values:Y= yes,N= no.hasCivilJudc(string) - Flag to indicate the indvl has CivilJudc DRP. Allowed values:Y= yes,N= no.hasBond(string) - Flag to indicate the indvl has Bond DRP. Allowed values:Y= yes,N= no.hasJudgment(string) - Flag to indicate the indvl has Judgment DRP. Allowed values:Y= yes,N= no.hasInvstgn(string) - Flag to indicate the indvl has Invstgn DRP. Allowed values:Y= yes,N= no.hasCustComp(string) - Flag to indicate the indvl has CustComp DRP. Allowed values:Y= yes,N= no.hasTermination(string) - Flag to indicate the indvl has Termination DRP. Allowed values:Y= yes,N= no.
Response Example: Individual Investment Adviser Representative Search
JSON
1
{
2
"total": {
3
"value": 10000,
4
"relation": "gte"
5
},
6
"filings": [
7
{
8
"Info": {
9
"lastNm": "Walters",
10
"firstNm": "Grant",
11
"midNm": "K",
12
"indvlPK": 7609153,
13
"actvAGReg": "Y",
14
"link": "https://adviserinfo.sec.gov/individual/summary/7609153"
15
},
16
"OthrNms": {},
17
"CrntEmps": {
18
"CrntEmp": [
19
{
20
"CrntRgstns": {
21
"CrntRgstn": [
22
{
23
"regAuth": "MN",
24
"regCat": "RA",
25
"st": "APPROVED",
26
"stDt": "2022-10-20"
27
}
28
]
29
},
30
"BrnchOfLocs": {
31
"BrnchOfLoc": [
32
{
33
"str1": "445 East Lake Street",
34
"city": "Wayzata",
35
"state": "MN",
36
"cntry": "United States",
37
"postlCd": "55391"
38
}
39
]
40
},
41
"orgNm": "MORGAN STANLEY",
42
"orgPK": 149777,
43
"str1": "2000 WESTCHESTER AVENUE",
44
"city": "PURCHASE",
45
"state": "NY",
46
"cntry": "United States",
47
"postlCd": "10577-2530"
48
}
49
]
50
},
51
"Exms": {
52
"Exm": [
53
{
54
"exmCd": "S66",
55
"exmNm": "Uniform Combined State Law Examination",
56
"exmDt": "2022-10-20"
57
}
58
]
59
},
60
"Dsgntns": {},
61
"PrevRgstns": {},
62
"EmpHss": {
63
"EmpHs": [
64
{
65
"fromDt": "08/2022",
66
"orgNm": "MORGAN STANLEY",
67
"city": "Wayzata",
68
"state": "MN"
69
},
70
{
71
"fromDt": "11/2020",
72
"toDt": "08/2022",
73
"orgNm": "Prime Therapeutics",
74
"city": "Eagan",
75
"state": "MN"
76
},
77
{
78
"fromDt": "06/2019",
79
"toDt": "11/2020",
80
"orgNm": "Polaris Industries",
81
"city": "Medina",
82
"state": "MN"
83
},
84
{
85
"fromDt": "06/2017",
86
"toDt": "06/2019",
87
"orgNm": "UnitedHealth Group",
88
"city": "Minnetonka",
89
"state": "MN"
90
},
91
{
92
"fromDt": "08/2013",
93
"toDt": "06/2017",
94
"orgNm": "Bethel University",
95
"city": "St. Paul",
96
"state": "MN"
97
},
98
{
99
"fromDt": "06/2009",
100
"toDt": "06/2013",
101
"orgNm": "Minnetonka High School",
102
"city": "Minnetonka",
103
"state": "MN"
104
}
105
]
106
},
107
"OthrBuss": {},
108
"DRPs": {},
109
"id": 7609153
110
},
111
{
112
"Info": {
113
"lastNm": "Penhallow",
114
"firstNm": "Joseph",
115
"midNm": "Paul",
116
"indvlPK": 7602608,
117
"actvAGReg": "Y",
118
"link": "https://adviserinfo.sec.gov/individual/summary/7602608"
119
},
120
"OthrNms": {
121
"OthrNm": [
122
{
123
"lastNm": "Penhallow",
124
"firstNm": "Joseph"
125
}
126
]
127
},
128
"CrntEmps": {
129
"CrntEmp": [
130
{
131
"CrntRgstns": {
132
"CrntRgstn": [
133
{
134
"regAuth": "FL",
135
"regCat": "RA",
136
"st": "APPROVED",
137
"stDt": "2022-10-13"
138
},
139
{
140
"regAuth": "TX",
141
"regCat": "RA",
142
"st": "APPROVED",
143
"stDt": "2022-10-13"
144
}
145
]
146
},
147
"BrnchOfLocs": {
148
"BrnchOfLoc": [
149
{
150
"str1": "12653 Telecom Drive",
151
"city": "Tampa",
152
"state": "FL",
153
"cntry": "United States",
154
"postlCd": "33637"
155
}
156
]
157
},
158
"orgNm": "MORGAN STANLEY",
159
"orgPK": 149777,
160
"str1": "2000 WESTCHESTER AVENUE",
161
"city": "PURCHASE",
162
"state": "NY",
163
"cntry": "United States",
164
"postlCd": "10577-2530"
165
}
166
]
167
},
168
"Exms": {
169
"Exm": [
170
{
171
"exmCd": "S66",
172
"exmNm": "Uniform Combined State Law Examination",
173
"exmDt": "2022-09-02"
174
}
175
]
176
},
177
"Dsgntns": {},
178
"PrevRgstns": {},
179
"EmpHss": {
180
"EmpHs": [
181
{
182
"fromDt": "09/2022",
183
"orgNm": "MORGAN STANLEY",
184
"city": "Temple Terrace",
185
"state": "FL"
186
},
187
{
188
"fromDt": "08/2022",
189
"toDt": "09/2022",
190
"orgNm": "Associate Staffing",
191
"city": "Charlotte",
192
"state": "NC"
193
},
194
{
195
"fromDt": "06/2019",
196
"toDt": "07/2022",
197
"orgNm": "BankNewport",
198
"city": "Middletown",
199
"state": "RI"
200
},
201
{
202
"fromDt": "02/2019",
203
"toDt": "04/2019",
204
"orgNm": "H&R Block",
205
"city": "Wakefield",
206
"state": "RI"
207
},
208
{
209
"fromDt": "06/2018",
210
"toDt": "08/2018",
211
"orgNm": "BA Services Inc.",
212
"city": "Charlestown",
213
"state": "RI"
214
},
215
{
216
"fromDt": "01/2018",
217
"toDt": "05/2018",
218
"orgNm": "University of Rhode Island",
219
"city": "Kingston",
220
"state": "RI"
221
},
222
{
223
"fromDt": "06/2017",
224
"toDt": "09/2017",
225
"orgNm": "Charlestown Mini Super",
226
"city": "Charlestown",
227
"state": "RI"
228
},
229
{
230
"fromDt": "06/2015",
231
"toDt": "05/2017",
232
"orgNm": "Belmont Market",
233
"city": "Wakefield",
234
"state": "RI"
235
},
236
{
237
"fromDt": "09/2017",
238
"toDt": "05/2021",
239
"orgNm": "University of Rhode Island",
240
"city": "Kingston",
241
"state": "RI"
242
},
243
{
244
"fromDt": "09/2014",
245
"toDt": "06/2017",
246
"orgNm": "Chariho Regional High School",
247
"city": "Wood River Junction",
248
"state": "RI"
249
},
250
{
251
"fromDt": "09/2011",
252
"toDt": "06/2014",
253
"orgNm": "Chariho Regional Middle School",
254
"city": "Wood River Junction",
255
"state": "RI"
256
}
257
]
258
},
259
"OthrBuss": {},
260
"DRPs": {},
261
"id": 7602608
262
}
263
]
264
}
Response: Brochure Search
brochures(array) - Array of brochures submitted by the firm.versionId(number) - Version ID of brochure, e.g. 795951name(string) - Name of brochure, e.g. SELECT UMA PROGRAM BROCHURE.dateSubmitted(date) - Submission date of brochure. (YYYY-MM-DD)url(string) - URL of brochure PDF, e.g. https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=795951
Response Example: Brochure Search
JSON
1
{
2
"brochures": [
3
{
4
"versionId": 795951,
5
"name": "SELECT UMA PROGRAM BROCHURE",
6
"dateSubmitted": "2022-09-30",
7
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=795951"
8
},
9
{
10
"versionId": 795950,
11
"name": "SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE",
12
"dateSubmitted": "2022-09-30",
13
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=795950"
14
},
15
{
16
"versionId": 795949,
17
"name": "SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE",
18
"dateSubmitted": "2022-09-30",
19
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=795949"
20
},
21
{
22
"versionId": 770903,
23
"name": "OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO)",
24
"dateSubmitted": "2022-03-30",
25
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770903"
26
},
27
{
28
"versionId": 770904,
29
"name": "FINANCIAL PLANNING SERVICES PROGRAM BROCHURE",
30
"dateSubmitted": "2022-03-30",
31
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770904"
32
},
33
{
34
"versionId": 770905,
35
"name": "GLOBAL INVESTMENT SOLUTIONS PROGRAM BROCHURE",
36
"dateSubmitted": "2022-03-30",
37
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770905"
38
},
39
{
40
"versionId": 770912,
41
"name": "ACCESS INVESTING PROGRAM BROCHURE",
42
"dateSubmitted": "2022-03-30",
43
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770912"
44
},
45
{
46
"versionId": 770907,
47
"name": "GRAYSTONE CONSULTING PROGRAM BROCHURE",
48
"dateSubmitted": "2022-03-30",
49
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770907"
50
},
51
{
52
"versionId": 770909,
53
"name": "INSTITUTIONAL SERVICES PROGRAM BROCHURE",
54
"dateSubmitted": "2022-03-30",
55
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770909"
56
},
57
{
58
"versionId": 770902,
59
"name": "ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE",
60
"dateSubmitted": "2022-03-30",
61
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770902"
62
},
63
{
64
"versionId": 770901,
65
"name": "PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE",
66
"dateSubmitted": "2022-03-30",
67
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770901"
68
},
69
{
70
"versionId": 770900,
71
"name": "CONSULTING GROUP ADVISOR PROGRAM BROCHURE",
72
"dateSubmitted": "2022-03-30",
73
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770900"
74
},
75
{
76
"versionId": 770906,
77
"name": "PRIVATE WEALTH MANAGEMENT FIRM BROCHURE",
78
"dateSubmitted": "2022-03-30",
79
"url": "https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=770906"
80
}
81
]
82
}
FAQ
Common questions about querying the Investment Adviser Data & Form ADV Filing API, the response shape, and the bulk archives.
How do I pull up the latest Form ADV filing for a specific advisory firm when I know its CRD number?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm. Search by the firm's CRD number, which is the identifier assigned by FINRA's CRD system or the IARD system and stored on each filing as Info.FirmCrdNb. For example, to retrieve the filing for the firm with CRD number 361, the value of Info.FirmCrdNb should be 361.
The endpoint always returns the most recently available version of the firm's Form ADV. Each result is a complete filing object, so once you locate the firm by CRD you get its identifying details (Info.BusNm, Info.LegalNm, Info.SECNb), its addresses (MainAddr), registration status (Rgstn), and the full Part 1A response under FormInfo.Part1A. The processing date of that latest filing is reported in Filing.Dt.
How do I look up an advisory firm by its business or legal name rather than by an ID number?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and search on the firm's name fields. A firm's primary business name is stored in Info.BusNm and its legal name is stored in Info.LegalNm. To find a firm by name, the value of Info.BusNm or Info.LegalNm should match the name you are looking for, for example GOLDMAN SACHS & CO. LLC.
Because the same firm can carry a different legal name than its public-facing business name, searching both fields together gives the most reliable match. Names are stored in uppercase as they appear on the IARD composite record. Each result returns the full filing, so you can confirm the match against the CRD number in Info.FirmCrdNb and the address in MainAddr.
How can I find an investment adviser firm using its SEC registration number (the 801- or 802- number)?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm. A firm's SEC registration number, which begins with the 801- prefix for registered advisers or 802- for Exempt Reporting Advisers, is stored on the filing as Info.SECNb. To locate a firm this way, the value of Info.SECNb should match the number you have, for example 801-57838.
This number maps to Form ADV Item 1 Question 1.d. Note that only SEC-registered advisers and ERAs carry an Info.SECNb value; advisers registered only with state regulators do not have one, so this field works as a lookup key for federally registered firms.
How do I retrieve all adviser filings that were submitted or updated within a particular date range?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the filing date. The date a firm's most recent Form ADV filing was processed is stored in Filing.Dt. To get filings within a window, the value of Filing.Dt should fall between your chosen start and end dates, for example between 2023-01-01 and 2023-03-31.
Form ADV filings are periodically amended, and Filing.Dt reflects the date the filing was most recently modified rather than its original submission date. This makes a date-range filter on Filing.Dt suitable for tasks such as pulling every adviser filing updated in the past 24 hours or during a specific quarter. Sorting the results by Filing.Dt in descending order returns the most recently updated filings first.
How can I get every adviser filing in a given month and page through the full result set?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm, narrowing the search to a single month by filtering on the processing date Filing.Dt so its value falls between the first and last day of that month, for example between 2023-02-01 and 2023-02-28. Page through the matches by advancing the from parameter in steps equal to your size (for example 50 at a time: 0, 50, 100, and so on) until no further results are returned.
A single query can return at most 10,000 filings, since from is capped at 10,000. If a month's results exceed that cap, split the month into shorter Filing.Dt ranges and paginate through each range separately. The maximum size per response is 50.
How do I identify large advisory firms managing $100 million or more in assets?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the large advisory firm flag. Form ADV Item 2.A.(1) asks whether the firm is a large advisory firm that either has regulatory assets under management of $100 million or more, or is SEC-registered, submitting an annual updating amendment, and has regulatory assets under management of $90 million or more. The firm's answer is stored in FormInfo.Part1A.Item2A.Q2A1, where the value should be Y to identify large advisory firms.
This flag identifies firms that qualify for SEC registration on the basis of their asset size. To screen by an exact dollar threshold instead of this regulatory classification, filter on the reported regulatory assets under management in FormInfo.Part1A.Item5F.Q5F2C.
How can I rank advisory firms by their total regulatory assets under management?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and sort the results by total regulatory assets under management. The total dollar amount of regulatory assets under management, from Form ADV Item 5.F.(2)(c), is stored in FormInfo.Part1A.Item5F.Q5F2C. Sorting on this field in descending order returns the largest firms first.
The same Item 5.F section also breaks the figure into its discretionary portion in FormInfo.Part1A.Item5F.Q5F2A and its non-discretionary portion in FormInfo.Part1A.Item5F.Q5F2B, so you can rank firms by either component instead of the combined total. The number of accounts behind these totals is reported in FormInfo.Part1A.Item5F.Q5F2D, Q5F2E, and Q5F2F.
How do I find firms with more than a set dollar amount of discretionary assets under management?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the discretionary regulatory assets under management. The discretionary U.S. dollar amount from Form ADV Item 5.F.(2)(a) is stored in FormInfo.Part1A.Item5F.Q5F2A. To find firms above a threshold, the value of FormInfo.Part1A.Item5F.Q5F2A should be greater than or equal to your chosen amount, for example 500000000 for $500 million or more.
Discretionary assets are those the firm manages with authority to make investment decisions on the client's behalf, as distinct from non-discretionary assets reported in FormInfo.Part1A.Item5F.Q5F2B. The combined total of both is in FormInfo.Part1A.Item5F.Q5F2C.
How do I tell whether an adviser is a fully registered firm or just an Exempt Reporting Adviser?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and check the registration type. For SEC-registered advisers, the Rgstn array carries a FirmType field whose value is Registered for fully registered firms and ERA for Exempt Reporting Advisers. To find only registered firms, the value of Rgstn.FirmType should be Registered; to find only ERAs, it should be ERA.
An Exempt Reporting Adviser is a firm that qualifies for an exemption from registration but must still file a limited Form ADV report. The same Rgstn array also carries the registration status in Rgstn.St, with values such as APPROVED, APPROVED-120, SUSPENDED, and ACTIVE, and the effective date in Rgstn.Dt.
How can I separate advisers regulated by the SEC from those registered only with state regulators?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and look at which registration objects are present on the filing. SEC-registered advisers carry the Rgstn array of SEC registration types and the NoticeFiled object listing the states they have filed notice in. Advisers registered only with state regulators carry the StateRgstn object, with their state regulators listed under StateRgstn.Rgltrs.Rgltr, and they include a Part1B section under FormInfo that does not exist on SEC-registered filings.
To isolate SEC-registered advisers, look for the presence of Rgstn or NoticeFiled; to isolate state-registered advisers, look for StateRgstn and FormInfo.Part1B. SEC-registered advisers also carry an Info.SECNb value, while purely state-registered advisers generally do not.
How do I find which states an SEC-registered adviser has filed notice in?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and read the notice filing object on the firm's filing. For SEC-registered advisers, the states where the firm has filed notice are listed in the NoticeFiled.States array. Each entry carries the state regulator code in NoticeFiled.States.RgltrCd (for example FL for Florida), the notice status in NoticeFiled.States.St (with values FILED for notice filed and PENDSEC for pending), and the effective date in NoticeFiled.States.Dt.
Notice filings are how an SEC-registered adviser registers its presence with individual state securities regulators. This NoticeFiled object appears only on SEC-registered adviser filings; state-registered advisers instead carry actual state registrations under StateRgstn.Rgltrs.Rgltr.
How do I locate advisers headquartered in a particular city, state, or country?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the firm's principal office address. The principal main office address from Form ADV Item 1.F is stored in the MainAddr object, with the city in MainAddr.City, the state in MainAddr.State, and the country in MainAddr.Cntry. To find advisers in a given location, the value of those fields should match the place you are looking for, for example MainAddr.State set to CA and MainAddr.City set to SAN RAMON.
The MainAddr object also holds the street address (MainAddr.Strt1), postal code (MainAddr.PostlCd), and phone number (MainAddr.PhNb). A separate MailingAddr object holds the firm's mailing address, which can differ from the principal office address.
How can I find advisory firms that act as advisers to private funds such as hedge funds or private equity funds?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the private fund adviser flag. Form ADV Item 7.B asks whether the firm is an adviser to any private fund, and the firm's answer is stored in FormInfo.Part1A.Item7B.Q7B. To find private fund advisers, the value of FormInfo.Part1A.Item7B.Q7B should be Y.
A Y answer means the firm reports private fund details in Item 7.B.1 of Schedule D. To then retrieve the actual funds, including hedge funds and private equity funds, use the Schedule D 7.B.1 endpoint at /form-adv/schedule-d-7-b-1/<crd> with the firm's CRD number.
How do I get the full list of private funds a firm manages, including each fund's gross asset value and fund type?
Use the Schedule D 7.B.1 endpoint at /form-adv/schedule-d-7-b-1/<crd>, passing the firm's CRD number in the path. The response is the privateFunds array, where each entry is one private fund the firm reported in Item 7.B.1 of Schedule D. Each fund carries its name in 1a-nameOfFund and its private fund identification number in 1b-fundIdentificationNumber.
The fund's classification is in the 10-typeOfFund object: 10-typeOfFund.selectedTypes is an array with values such as hedge fund, liquidity fund, private equity fund, real estate fund, securitized asset fund, venture capital fund, or other private fund. The fund's current gross asset value is in 11-grossAssetValue. Other reported figures include the minimum investment commitment in 12-minInvestmentCommitment and the approximate number of beneficial owners in 13-numberOfBeneficialOwners.
How can I find out which auditors, prime brokers, and custodians a firm's private funds use?
Use the Schedule D 7.B.1 endpoint at /form-adv/schedule-d-7-b-1/<crd> with the firm's CRD number. Each fund in the returned privateFunds array lists its service providers in dedicated arrays. Auditors are in 23b-f-auditors, where each entry carries the auditing firm's name in 23b-name and its location in 23c-location. Prime brokers are in 24b-e-primeBrokers, where each entry carries the prime broker's name in 24b-name, its SEC registration number in 24c-1-secRegistrationNumber, and its CRD number in 24c-2-crdNumber. Custodians are in 25b-g-custodians, where each entry carries the custodian's legal name in 25b-legalName, its business name in 25c-businessName, and a related-person flag in 25e-isRelatedPerson.
Whether a fund uses each kind of provider is signaled by the boolean fields 24a-fundUsesPrimeBrokers and 25a-fundUsesCustodians, and by the audit flag 23a-1-financialStatementsAreSubjectToAnnualAudit. Fund administrators are reported separately in 26b-f-administrators.
How do I identify a firm's owners and executive officers along with how big a stake each one holds?
Use the Schedule A Direct Owners endpoint at /form-adv/schedule-a-direct-owners/<crd>, passing the firm's CRD number in the path. The response is the directOwners array of direct owners and executive officers disclosed in Schedule A of Form ADV. Each entry carries the person's full legal name in name, their title or status in titleStatus, and the date that title was acquired in dateTitleStatusAcquired.
The size of each person's stake is reported in ownershipCode as a band rather than an exact percentage: NA means less than 5%, A means 5% to under 10%, B means 10% to under 25%, C means 25% to under 50%, D means 50% to under 75%, and E means 75% or more. The ownerType field indicates whether the owner is an individual (I), a domestic entity (DE), or a foreign entity (FE), and isControlPerson flags whether the person is a control person of the firm.
How can I trace the ownership chain of a firm up through its parent companies?
Use the Schedule B Indirect Owners endpoint at /form-adv/schedule-b-indirect-owners/<crd>, passing the firm's CRD number in the path. The response is the indirectOwners array of indirect owners disclosed in Schedule B. Each entry carries the owner's name in name and, in entityOwned, the name of the entity in which that owner holds its interest.
The entityOwned field is what lets you trace the chain: it links each indirect owner to the next entity up the structure, so by following name to entityOwned from one record to the next you can reconstruct the path from the firm up through its parent companies. Each entry also reports the stake band in ownershipCode (C for 25% to under 50%, D for 50% to under 75%, E for 75% or more, F for other capacities such as general partner or trustee) and a control flag in isControlPerson.
How do I find a firm's financial industry affiliations, such as related broker-dealers or insurance companies?
Use the Schedule D 7.A endpoint at /form-adv/schedule-d-7-a/<crd>, passing the firm's CRD number in the path. The response is an array of related person objects disclosed in Schedule D Section 7.A. Each related person carries its legal name in 1-nameOfRelatedPerson, its business name in 2-businessName, and identifiers such as its SEC file number in 3-secFileNumber and CRD number in 4a-crdNumber.
The kind of affiliation is given by 5-typesOfRelatedPerson, an array of category codes: for example a-brokerBealer for a broker-dealer, l-insuranceCompany for an insurance company or agency, b-otherAdviser for another investment adviser, i-trustCompany for a trust company, and j-accountant for an accounting firm. The control relationship is described by 6-controlsRelatedPerson and 7-underCommonControl.
How can I see the breakdown of asset types held in a large firm's separately managed accounts?
Use the Schedule D 5.K endpoint at /form-adv/schedule-d-5-k/<crd>, passing the firm's CRD number in the path. The asset type distribution is under 1-separatelyManagedAccounts, which splits firms by size: object a covers firms with at least $10 billion in regulatory assets under management attributable to separately managed accounts, and object b covers firms below $10 billion.
Within each, the percentage held in each asset class is reported as a separate field, such as i-exchangeTradedEquity, iii-usGovernmentBonds, vi-investmentGradeCorporateBonds, viii-derivatives, and xi-cash, each carrying a midYear and endOfYear percentage for the larger firms. The same endpoint also returns the use of borrowings and derivatives in 2-borrowingsAndDerivatives and the account custodians in 3-custodiansForSeparatelyManagedAccounts.
How do I get the list of other business names a firm operates under and the states where each is used?
Use the Schedule D 1.B endpoint at /form-adv/schedule-d-1-b/<crd>, passing the firm's CRD number in the path. The response is an array of objects, one per other business name disclosed in Schedule D Section 1.B. Each object carries the business name in name and the list of states where that name is used in the jurisdictions array.
The jurisdictions array holds state codes such as AL, AK, and AZ, and may include entries prefixed with Other: for jurisdictions outside the standard state set. These are the additional names a firm operates under beyond the primary business name reported in Info.BusNm.
How do I find all the disclosure brochures a firm has filed and get links to download them?
Use the Brochure endpoint at /form-adv/brochures/<crd>, passing the firm's CRD number in the path. The response is the brochures array, listing every brochure the firm submitted in Part 2 of its Form ADV. Each entry carries the brochure name in name, its version identifier in versionId, and the submission date in dateSubmitted.
A download link for each brochure PDF is provided in the url field, which points to the brochure document hosted on the IAPD site. Brochures are the plain-language disclosure documents an adviser provides to clients describing its services, fees, and conflicts of interest.
How can I find advisory firms that offer financial planning services?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the financial planning services flag. Form ADV Item 5.G asks what types of advisory services the firm provides, and the response to Item 5.G.(1), financial planning services, is stored in FormInfo.Part1A.Item5G.Q5G1. To find firms offering financial planning, the value of FormInfo.Part1A.Item5G.Q5G1 should be Y.
The same Item 5.G object holds the firm's answers for other service types, such as portfolio management for individuals and small businesses in FormInfo.Part1A.Item5G.Q5G2 and pension consulting services in FormInfo.Part1A.Item5G.Q5G6. For firms that provide financial planning, the number of clients served by that service is reported in FormInfo.Part1A.Item5H.Q5H.
How do I identify firms that charge performance-based fees?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the compensation arrangement flag. Form ADV Item 5.E asks how the firm is compensated, and the response to Item 5.E.(6), performance-based fees, is stored in FormInfo.Part1A.Item5E.Q5E6. To find firms that charge performance-based fees, the value of FormInfo.Part1A.Item5E.Q5E6 should be Y.
Performance-based fees are fees tied to the investment gains of a client's account, distinct from the more common percentage-of-assets fee reported in FormInfo.Part1A.Item5E.Q5E1. The same Item 5.E object also covers hourly charges (Q5E2), fixed fees (Q5E4), and commissions (Q5E5).
How can I find advisers that disclose a legal, regulatory, or disciplinary event?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the disclosure flag. Form ADV Item 11 asks whether any of a list of legal, regulatory, criminal, or disciplinary events involve the firm or its supervised persons, and the firm's overall answer is stored in FormInfo.Part1A.Item11.Q11. To find advisers reporting any such event, the value of FormInfo.Part1A.Item11.Q11 should be Y.
The specific type of event is broken out across the Item 11 sub-questions. Criminal actions are in FormInfo.Part1A.Item11A (felony) and Item11B (misdemeanor); SEC or CFTC regulatory actions are in Item11C; other regulatory agency actions are in Item11D; self-regulatory organization actions are in Item11E; and civil judicial actions are in Item11H. Each sub-question (for example FormInfo.Part1A.Item11C.Q11C1) carries a Y or N value.
How do I find firms that sponsor or manage wrap fee programs?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the wrap fee program flag. Form ADV Item 5.I asks whether the firm sponsors a wrap fee program, and the firm's answer to Item 5.I.(1) is stored in FormInfo.Part1A.Item5I.Q5I1. To find wrap fee program sponsors, the value of FormInfo.Part1A.Item5I.Q5I1 should be Y.
A wrap fee program bundles advisory and brokerage services for a single combined fee. For firms that answer Y, the same Item 5.I object reports the regulatory assets under management attributable to acting as sponsor in FormInfo.Part1A.Item5I.Q5I2A, as portfolio manager in Q5I2B, and as both for the same program in Q5I2C.
How can I look up an individual financial adviser and see their current firm, exams passed, and employment history?
Use the Registered Individual Investment Adviser Representative Search endpoint at /form-adv/individual. Each individual is identified by their own CRD number, stored as Info.indvlPK. To pull up a specific adviser, the value of Info.indvlPK should match that person's CRD number. The result carries their name in Info.lastNm, Info.firstNm, and Info.midNm.
The individual's current firm is in the CrntEmps.CrntEmp array, where CrntEmps.CrntEmp.orgNm is the firm's business name and CrntEmps.CrntEmp.orgPK is the firm's CRD number. State exams passed are in the Exms.Exm array, with the exam code in Exms.Exm.exmCd (for example S65 for the Uniform Investment Adviser Law Examination) and the date taken in Exms.Exm.exmDt. Past employment is in the EmpHss.EmpHs array, with the employer name in EmpHss.EmpHs.orgNm and the dates in EmpHss.EmpHs.fromDt and EmpHss.EmpHs.toDt.
How do I find every individual adviser currently registered at a particular firm?
Use the Registered Individual Investment Adviser Representative Search endpoint at /form-adv/individual and filter on the firm's CRD number within each individual's current employment record. The firm CRD number an individual is currently registered with is stored in CrntEmps.CrntEmp.orgPK. To find everyone at a given firm, the value of CrntEmps.CrntEmp.orgPK should match that firm's CRD number.
Each matching individual record carries the person's CRD number in Info.indvlPK and name in Info.firstNm and Info.lastNm, and the firm's business name in CrntEmps.CrntEmp.orgNm. Page through the full roster by advancing the from parameter in steps equal to your size, since a single firm can have many registered representatives.
How can I screen out individual advisers who have a customer complaint or other disclosure event on their record?
Use the Registered Individual Investment Adviser Representative Search endpoint at /form-adv/individual and filter on the disclosure flags inside the DRPs.DRP array. Each individual's Disclosure Reporting Page summary carries one flag per type of event, each holding Y or N: DRPs.DRP.hasCustComp for a customer complaint, DRPs.DRP.hasRegAction for a regulatory action, DRPs.DRP.hasCriminal for a criminal matter, DRPs.DRP.hasCivilJudc for a civil judicial action, and others such as hasBankrupt, hasJudgment, hasInvstgn, hasBond, and hasTermination.
To exclude advisers with any record, the value of the relevant flags should be N. For example, to drop anyone with a customer complaint or a regulatory action, DRPs.DRP.hasCustComp should be N and DRPs.DRP.hasRegAction should be N. Filtering on all the flags being N returns only advisers with a clean disclosure record.
How do I find individual advisers registered in a specific state and currently in approved status?
Use the Registered Individual Investment Adviser Representative Search endpoint at /form-adv/individual and filter on the current registration records inside CrntEmps.CrntEmp.CrntRgstns.CrntRgstn. Each registration entry carries the state code of the regulatory authority in CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.regAuth and the registration status in CrntEmps.CrntEmp.CrntRgstns.CrntRgstn.st.
To find advisers registered and approved in a given state, the value of regAuth should be that state's code (for example WI for Wisconsin) and the value of st should be APPROVED. The st field carries many other status values such as PENDING, SUSPENSION, REVOKED, and TERMED, so requiring APPROVED limits the results to advisers in good standing in that state. The registration category is in CrntRgstn.regCat, with RA indicating an investment adviser representative.
How can I find advisers that report having custody of client cash or securities, and how much?
Use the Investment Adviser Firm Search endpoint at /form-adv/firm and filter on the custody flags in Form ADV Item 9.A. Whether the firm has custody of client cash or bank accounts is stored in FormInfo.Part1A.Item9A.Q9A1A, and whether it has custody of client securities is stored in FormInfo.Part1A.Item9A.Q9A1B. To find advisers reporting custody, the value of Q9A1A or Q9A1B should be Y.
The dollar amount of client assets the firm has custody of is reported in FormInfo.Part1A.Item9A.Q9A2A, and the number of clients involved is in FormInfo.Part1A.Item9A.Q9A2B. A related set of fields under FormInfo.Part1A.Item9B covers custody attributable to related persons of the firm.
References
For more information about Form ADV filings visit the SEC websites here:
- Form ADV General Instructions
- Form ADV Instructions & FAQ
- Form ADV Part 1A EDGAR Template
- Form ADV Part 1B EDGAR Template
- Form ADV Part 2 Template & Instructions
- Form ADV Part 3 Template & Instructions
Regulations
- § 275.203A-3 Definitions.
- § 275.203-1 Application for investment adviser registration.
- § 275.204-1 Amendments to Form ADV.
- § 275.206(4)-1 Investment adviser marketing.
- § 279.1 Form ADV, for application for registration of investment adviser and for amendments to such registration statement.
- § 279.2 Form ADV-W, notice of withdrawal from registration as investment adviser.