get_investment_advisers
Returns SEC Form ADV registry records — every SEC-registered investment adviser (~17K RIAs) and exempt reporting adviser (~6.5K ERAs, mostly private-fund advisers), from the SEC's monthly roster extract. One record per firm (CRD number) with regulatory AUM (discretionary / non-discretionary / total, Item 5F), employees and IA reps, client counts, custody flags (Item 9A), and disciplinary disclosure flags (Item 11, verbatim sub-question codes). Use this when the user asks: who advises/manages money, how big is an adviser, largest RIAs by state, advisers with disciplinary history, or to vet a firm before pairing with enforcement / holdings data. firm_type: 'registered' RIAs report regulatory AUM; 'exempt_reporting' ERAs do NOT report Item 5F — their AUM fields are null by construction (they report private-fund data instead; see adviserinfo_url for Section 7.B detail). Registry posture: this is a CURRENT-ROSTER snapshot refreshed monthly, not an event history. snapshot_month is the last month the firm appeared — a stale snapshot_month means the firm dropped off the roster (deregistered). min_aum filters on total regulatory AUM and requires the default aum_total sort. CIK is the join key to EDGAR datasets (13F institutional holdings, enforcement). v1A maps a curated ~30-field subset of Form ADV Part 1A's 448-column grid; adviserinfo_url links the firm's full IAPD page. Pure-publisher posture: the SEC's roster as published. A disciplinary FLAG is a disclosure, not a verdict — agents read the detail on IAPD.
Input Schema
| Name | Required | Description | Default |
|---|---|---|---|
| cik | No | Exact EDGAR CIK (any zero-padding) — the join key to 13F / enforcement data. | |
| crd | No | Direct lookup by firm CRD number (e.g., '38'). | |
| limit | No | Maximum firms to return. Default 50, max 500. | |
| state | No | Two-letter main-office state code (e.g., 'NY'). | |
| country | No | Main-office country, verbatim (e.g., 'United States'). | |
| min_aum | No | Minimum total regulatory AUM in dollars (registered firms only; requires sort_by aum_total). | |
| sort_by | No | Default aum_total (largest first). | |
| firm_name | No | Case-insensitive substring against primary business or legal name. | |
| firm_type | No | 'registered' = SEC-registered RIAs (report AUM); 'exempt_reporting' = ERAs (AUM fields null). | |
| sort_order | No | Default desc. | |
| has_disciplinary_disclosures | No | Filter to firms with (true) / without (false) Item 11 disclosures. |