Search SEC-registered investment adviser representatives (IARs) by
name, firm, city, and/or state. No CRD number needed. At least one of
name/firm/city/state is required — e.g. browse by city+state alone, or
search by name.
Returns, per match: CRD, name, the firm(s) they're linked to (with branch
city/state), a four-state disclosure status (none_reported /
disclosed_no_detail / disclosed_with_detail / unknown — never "clean"),
and a link to the advisor's full SEC IAPD record. Data is derived from SEC
IAPD / FINRA BrokerCheck registration feeds, not real-time.
Get the full profile for an investment adviser representative (IAR) by
CRD number — no need to search first if you already have it. Returns
employment history (current firm first, then previous), exams passed,
the states where they hold an investment-adviser registration
(`advisory_states`; broker-dealer state registrations are reported
separately as a labeled count in `also_registered_as_broker`, because
selling securities is not the same as giving investment advice),
professional designations (always labeled
self-reported — none of this data is independently verified), years in
the industry, and four-state disclosure status (never phrased as
"clean"/"safe": none_reported / disclosed_no_detail / disclosed_with_detail
/ unknown). Data is derived from SEC IAPD / FINRA BrokerCheck.
Quick yes/no-style verification of an advisor: is their registration
active, which states they hold an investment-adviser registration in
(`advisory_states`, with any broker-dealer state registrations reported
separately as a labeled count in `also_registered_as_broker`), how long
they have been in the industry, and their four-state disclosure status.
Accepts EITHER a CRD number (all digits) OR a name — optionally narrowed
by firm/state to disambiguate common names. If a name matches more than
one advisor, returns candidates instead of guessing; re-run with the CRD
from the list.
This tool never returns a numeric risk score — only the underlying facts
(registration status, disclosure status) so you can judge for yourself.
Search advisors listed on AdvisorFinder's marketplace — professionals
with public profiles you can view and contact directly. This searches
only AdvisorFinder members (a few hundred advisors), not the full
SEC roster; use search_advisors for the full roster.
All filters are optional — browsing with none of them is fine, since this
tool's scope is already narrow. `specialty` matches against the advisor's
bio, client description, quick facts, and credentials (case-insensitive
substring). Returns, per member: their self-provided profile info (bio,
credentials, pricing, minimum account size, education, and more), a link
to their full AdvisorFinder profile, AND regulatory facts for their CRD.
Members whose CRD is in our SEC dataset get the same registration status
and four-state disclosure status check_advisor reports — never softened.
Members whose CRD is NOT in our SEC dataset (typically state-registered
or BD-side advisors) get a labeled note saying so, with FINRA
BrokerCheck / SEC IAPD verify links — never presented as if clean. AUM
and client-count figures are self-reported by the advisor, not
regulatory data, and are always labeled as such. Being listed here is a
business relationship with AdvisorFinder, not an endorsement, and never
affects how any advisor ranks in search_advisors/check_advisor.
Search SEC- and state-registered investment adviser FIRMS by name
and/or state. Matches on the firm's primary name, legal name, or any
"also known as" prior name on file. Returns, per match: CRD, name, city/
state, AUM band, advisor headcount, and a link to the firm's SEC IAPD
record. State-registered-only firms (not SEC-registered) are included but
flagged — purely state-registered firms have no advisor rosters at all;
state-listed firms showing rosters are dual-registered.
Get the full profile for an investment adviser FIRM by CRD number:
identity, address, website, AUM band, headcount, who they serve and how
they charge (rendered as lists), any disclosure flag, state registrations,
office locations (private-residence addresses are withheld per SEC
privacy rules), prior/other names, fee details from their ADV Part 2A
brochure (marked as estimated when it is), and how many individual
advisor records we have on file for them (an empty roster does not
necessarily mean an empty firm — see the caveat when that happens).
State-registered-only firms get a reduced profile.
Overall stats about our data: how many firms and advisors we cover,
when each data source was last refreshed (vintages), and a full
four-state disclosure tally — INCLUDING the 'unknown' bucket (advisors
where we simply don't have disclosure detail on file; that is not the
same as a clean record). Also states coverage scope explicitly: we do
not claim to cover the whole US advisor population, only SEC-registered
firms and their active reps.