Investment Advisers (Form ADV)
The SEC's registry of every registered investment adviser (~17K RIAs) and exempt reporting adviser (~6.5K ERAs), refreshed monthly from the official Form ADV roster extract. One record per firm: regulatory AUM (discretionary / non-discretionary / total), employees and IA reps, client counts, custody flags, and Item 11 disciplinary-disclosure flags with verbatim sub-question codes. CIK included where the firm files with EDGAR — the join key to 13F holdings and enforcement actions.
GET /v1/investment-advisersWhat it returns
One record per firm (CRD number). Registered firms report regulatory AUM; exempt reporting advisers do not (their AUM fields are null by construction). See the live example below for the full field set.
Filters
| crd | Direct lookup by firm CRD number (e.g., '38'). |
| cik | Exact EDGAR CIK (any zero-padding) — the join key to 13F / enforcement data. |
| firm_type | 'registered' = SEC-registered RIAs (report AUM); 'exempt_reporting' = ERAs (AUM fields null). |
| firm_name | Case-insensitive substring against primary business or legal name. |
| state | Two-letter main-office state code (e.g., 'NY'). |
| country | Main-office country, verbatim (e.g., 'United States'). |
| has_disciplinary_disclosures | Filter to firms with (true) / without (false) Item 11 disclosures. |
| min_aum | Minimum total regulatory AUM in dollars (registered firms only; requires sort_by aum_total). |
| sort_by | Default aum_total (largest first). |
| sort_order | Default desc. |
| limit | Maximum firms to return. Default 50, max 500. |
Example request
curl "https://api.keyvex.com/v1/investment-advisers?limit=1" \
-H "x-api-key: YOUR_KEY"Response
{
"results": [
{
"main_office_country": "United States",
"sec_status_effective_date": "1976-08-23",
"accounts_discretionary": 228,
"cik": "102909",
"aum_discretionary": 11092665107962,
"relying_advisers_count": null,
"latest_adv_filing_date": "2026-05-18",
"firm_type": "registered",
"source_url": "https://www.sec.gov/files/investment/data/other/information-about-registered-investment-advisers-exempt-reporting-advisers/ia07012026.zip",
"main_office_city": "MALVERN",
"employees_total": 1702,
"has_disciplinary_disclosures": true,
"crd": "105958",
"has_custody_client_cash": false,
"has_custody_client_securities": false,
"umbrella_registration": false,
"snapshot_month": "2026-07",
"accounts_non_discretionary": 0,
"accounts_total": 228,
"main_office_state": "PA",
"legal_name": "THE VANGUARD GROUP, INC.",
"clients_count": 0,
"ia_reps_count": 19,
"non_us_aum": 0,
"website": "HTTPS://X.COM/VANGUARD_INSTL",
"disciplinary_flags": [
"11C(2)",
"11C(4)",
"11C(5)",
"11D(2)",
"11D(4)",
"11E(2)",
"11H(1)(b)",
"11H(1)(c)"
],
"sec_region": "PLRO",
"aum_total": 11092665107962,
"sec_number": "801-11953",
"aum_non_discretionary": 0,
"sec_status": "Approved",
"primary_business_name": "VANGUARD GROUP INC",
"scraped_at": "2026-07-06T17:41:41.939Z",
"main_office_postal_code": "19355",
"adviserinfo_url": "https://adviserinfo.sec.gov/firm/summary/105958",
"_first_seen_at": "2026-07-06T17:45:47.920Z",
"_last_history_at": "2026-07-06T17:45:47.920Z",
"_content_hash": "6daefaf484c837815ee238a5c6129317796dd6e4a98c037381c1c6cd6996c767"
}
],
"count": 1,
"has_more": true
}Example questions you can answer
- Largest advisers by regulatory AUM, nationally or by state.
- Does a specific firm have disciplinary disclosures?
- Advisers with custody of client assets.
- Vet a 13F filer: join CIK to its ADV registration and flags.
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