{ "openapi": "3.0.1", "info": { "title": "SEC Investment Adviser Scraper — RIA Firm Leads & Form ADV", "description": "One row per registered investment adviser FIRM, from the SEC's own Form ADV feed: firm name, CRD and SEC number, office address, phone, website, LinkedIn, regulatory AUM, employees, client counts, fees, custody and Item 11 disciplinary flags. 17,108 SEC-registered RIAs. 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SEC = the 17,108 SEC-registered adviser firms (the classic RIA list: 97.9% report regulatory AUM, 91.9% publish a street address). State = the 16,510 state-registered firms (smaller, local advisers; 84.0% report AUM, only 50.1% publish a street address). Both = all 43,370 unique firms across the two feeds, deduplicated by CRD number (2,173 firms appear in both feeds and are emitted once, 277 of them registered rather than exempt-reporting). Both costs one extra 5.07 MB download; scanning every record in both feeds took 10.6 seconds end to end.", "default": "sec" }, "includeExemptReporting": { "title": "Include exempt reporting advisers", "type": "boolean", "description": "OFF by default, and it matters: 6,632 of the 23,740 records in the SEC feed (and 5,293 in the state feed) are EXEMPT REPORTING ADVISERS — private-fund and venture managers that file only part of Form ADV. Measured on those 6,632 records: 0.0% report regulatory AUM, 0.0% report an employee count, 0.0% report client counts, and only 49.0% carry a US address. Turn this on only if you specifically want private-fund and VC managers. A firm you request by CRD number is always returned regardless of this switch.", "default": false }, "crdNumbers": { "title": "CRD numbers", "type": "array", "description": "Paste firm CRD numbers to return just those firms — the compliance/due-diligence path. Hundreds in one run costs the same per firm as a bulk pull, and the run log reports exactly which CRDs were NOT found and why. Any format works (104559, CRD #104559, 0104559). A CRD lookup only searches the feed you picked above, so choose Both for lookups. Leave empty to enumerate in bulk.", "default": [], "items": { "type": "string" } }, "firmNameQuery": { "title": "Firm name contains", "type": "string", "description": "Case-insensitive substring match on the firm's business name or legal name — e.g. \"wealth\" returns 3,005 of the 17,108 SEC-registered firms, \"fiduciary\" returns 56, \"vanguard\" returns 8. Leave empty for no name filter.", "default": "" }, "states": { "title": "States", "type": "array", "description": "Main-office states. Counts in the list are records with that main-office state across both feeds on the 2026-08-12 feed, counted before CRD deduplication, so a Both run returns slightly fewer. Empty = nationwide. The 8,254 state-registered firms that publish no main-office state at all fall back to the state securities regulator they are registered with, so you still get them — that is why a Texas state-registered run returns 2,827 rows and not 712. The fallback is deliberately NOT applied to SEC notice filings: a $50B New York firm notice-files in all 50 states, and counting it as \"located in Montana\" would poison a territory list.", "items": { "type": "string", "enum": [ "CA", "NY", "TX", "FL", "MA", "IL", "PA", "CO", "CT", "OH", "NJ", "GA", "MI", "VA", "WA", "NC", "AZ", "MD", "MN", "TN", "MO", "WI", "UT", "IN", "OR", "KS", "NV", "SC", "PR", "OK", "AL", "LA", "NH", "IA", "DC", "KY", "NE", "ID", "AR", "DE", "WY", "RI", "MT", "VT", "ME", "NM", "MS", "HI", "SD", "WV", "ND", "AK", "VI" ], "enumTitles": [ "California — 5,244", "New York — 3,698", "Texas — 2,573", "Florida — 2,086", "Massachusetts — 1,280", "Illinois — 1,134", "Pennsylvania — 954", "Colorado — 934", "Connecticut — 876", "Ohio — 774", "New Jersey — 708", "Georgia — 654", "Michigan — 623", "Virginia — 606", "Washington — 547", "North Carolina — 520", "Arizona — 499", "Maryland — 463", "Minnesota — 443", "Tennessee — 407", "Missouri — 373", "Wisconsin — 356", "Utah — 343", "Indiana — 312", "Oregon — 287", "Kansas — 241", "Nevada — 231", "South Carolina — 223", "Puerto Rico — 195", "Oklahoma — 180", "Alabama — 174", "Louisiana — 168", "New Hampshire — 164", "Iowa — 159", "District of Columbia — 143", "Kentucky — 143", "Nebraska — 116", "Idaho — 112", "Arkansas — 110", "Delaware — 108", "Wyoming — 93", "Rhode Island — 84", "Montana — 66", "Vermont — 63", "Maine — 61", "New Mexico — 57", "Mississippi — 51", "Hawaii — 41", "South Dakota — 40", "West Virginia — 30", "North Dakota — 30", "Alaska — 19", "US Virgin Islands — 6" ] }, "default": [] }, "minAum": { "title": "Minimum AUM (USD)", "minimum": 0, "type": "integer", "description": "Only firms whose total regulatory assets under management (Form ADV Item 5.F.(2)(c)) are at least this much — e.g. 1000000000 leaves 5,389 firms across both feeds, 100000000 leaves most of the SEC list. Leave empty for no floor. 97.9% of SEC-registered firms report AUM; the 2.1% that do not are dropped by any value here." }, "maxAum": { "title": "Maximum AUM (USD)", "minimum": 0, "type": "integer", "description": "Only firms at or below this regulatory AUM — the fastest way to build an RIA M&A or small-practice prospect list. 250000000 leaves 19,224 firms across both feeds; 100000000 leaves 14,641." }, "minEmployees": { "title": "Minimum employees", "minimum": 0, "type": "integer", "description": "Only firms with at least this many total employees (Form ADV Item 5.A, filled on 100% of SEC-registered firms). 995 SEC-registered firms are one-person shops and 6,660 have five employees or fewer, so setting 6 here removes about 39% of the SEC list; 1,201 firms have 100 or more." }, "withWebsiteOnly": { "title": "Only firms with a website", "type": "boolean", "description": "Keep only firms that list a real website. Social-only profiles do not count: Form ADV collects websites and social accounts in one list, so LinkedIn/X/Facebook pages are split into their own fields and 166 SEC-registered firms whose ONLY web address is social are dropped by this switch. 91.0% of SEC-registered advisers have a real website; 69.9% of state-registered ones do.", "default": false }, "withDisclosuresOnly": { "title": "Only firms with a disciplinary disclosure", "type": "boolean", "description": "Keep only firms that answered YES to at least one Form ADV Item 11 disciplinary question. 2,019 of the 17,108 SEC-registered firms (11.8%) and 1,292 of the 16,510 state-registered firms (7.8%) do — a ready-made compliance, due-diligence or advisor-recruiting screen. The row tells you which kind: 157 SEC-registered firms carry a criminal flag, 1,894 a regulatory one and 271 a civil one (a firm can carry more than one).", "default": false }, "registeredAfter": { "title": "Registered on or after (YYYY-MM-DD)", "type": "string", "description": "Only firms whose registration date is on or after this date — the \"new RIA registrations\" trigger. Measured on the 2026-08-12 feed: 46 SEC-registered firms registered in the previous 7 days, 213 in 30 days, 477 in 90 days and 1,570 in a year (state-registered: 51 / 210 / 529 / 1,697). Registration date is present on 100% of firms in both feeds. Format YYYY-MM-DD; a malformed date stops the run instead of silently returning everything." }, "filedAfter": { "title": "Last Form ADV filing on or after (YYYY-MM-DD)", "type": "string", "description": "Only firms whose most recent Form ADV filing is on or after this date — use it for \"what changed since my last pull\" instead of re-downloading the whole registry. Measured on the 2026-08-12 feed: 331 SEC-registered firms filed in the previous 7 days, 1,898 in 30 days, 4,958 in 90 days. Note the annual updating amendment season: 17,026 of the 17,108 SEC-registered firms filed something in the last year, so a 12-month window is not a filter." }, "maxItems": { "title": "Max results", "minimum": 0, "type": "integer", "description": "Hard cap on firms returned this run, and therefore your hard cost cap at $0.004 per firm: 100 = $0.40, 1,000 = $4, the whole 17,108-firm SEC list = about $68. Set 0 for no cap. Rows removed by your filters are never fetched twice and never billed, and duplicate CRDs are dropped before billing.", "default": 100 }, "proxyConfiguration": { "title": "Proxy", "type": "object", "description": "Not needed, and off by default. The SEC compilation bucket is public and this Actor runs direct: measured 15/15 clean direct requests versus 14/15 through Apify's datacenter proxy (one 595 ECONNRESET) and 14/15 residential (one Cloudflare 403). Proxying a public government file only adds a failure mode. 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