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Search RIA firms, advisors and private funds

search_ria
Read-onlyIdempotent

Registered investment advisers (Form ADV: RAUM, clients by type, employees, advisors on IAPD, private funds, class such as INDEPENDENT_WEALTH or WIREHOUSE), registered advisors (IAPD: current firm, registration history counts, exams, designations) and the private funds advisers report, as compact cards with dfx:ria: ids. query takes a name, a firm CRD number, an SEC file number (801-...), an individual CRD (with entity_type=advisor) or an SEC private fund id (805-...). Filter firms by state, class, wealth managers only, RAUM band, advisor headcount or private funds; advisors by firm CRD or state; funds by firm CRD or type. Every row names its fact class (reported: filed on Form ADV; fact_from_registration: IAPD registration dates; derived: a rule or arithmetic over filed inputs). RAUM double counts affiliates; no advisor book size exists or is estimated; the IAPD tape is survivor-biased before 2026-09-15. Nothing here is predictive. Not for private equity or venture managers as investors (search_pe_firms, search_vc_firms), though the same adviser may appear on both graphs (get_entity same_as). ACCESS: without a paid DFX plan on the vertical, a list returns its first 5 rows in full and a count of the rest by type (locked.count, locked.by_type), never the rows; a record names its subject and the first 3 related names per section; contact values (email, phone, profile URLs) and decision-maker names are never returned, only their types and counts. Every answer says what it withheld in entitlement and locked. Full access: DFX Intelligence, 7 days free at https://dfxintel.com/data-factory/plans.

Input Schema

TableJSON Schema
NameRequiredDescriptionDefault
cityNo
sortNo
limitNo
queryNoName contains, or an identifier (firm CRD, 801- SEC number, individual CRD, 805- fund id).
stateNoTwo-letter US state code.
cursorNonext_cursor from a previous page of this tool, unchanged.
firm_crdNoFor advisors and funds: the adviser's CRD.
fund_typeNo
firm_classNoThe RIA lane's printed classification of the firm (wirehouses are curated, the rest are rules over Item 5.D shares).
entity_typeNofirm
wealth_onlyNoFirms in the six wealth management classes only.
max_raum_usdNo
min_advisorsNoAt least this many advisors on IAPD.
min_raum_usdNo
include_formerNoFirms include state-registered advisers, former SEC advisers and firms off the roster; default SEC-registered only.
private_funds_onlyNo

Schema Changelog

Changes observed during successful MCP inspections.

  1. Added

TDQS

A4.8/5.0
Behavior5/5

Does the description disclose side effects, auth requirements, rate limits, or destructive behavior?

Beyond the annotations (readOnly/idempotent/openWorld/non-destructive), it discloses substantial behavioral context: the entitlement gating (first 5 rows full, rest as locked.count/locked.by_type with no rows), that contact values and decision-maker names are never returned, that every answer reports withheld data in `entitlement` and `locked`, plus data caveats (RAUM double counts affiliates, IAPD survivor bias before 2026-09-15, nothing predictive).

Agents need to know what a tool does to the world before calling it. Descriptions should go beyond structured annotations to explain consequences.

Conciseness4/5

Is the description appropriately sized, front-loaded, and free of redundancy?

The content is dense but front-loads the return shape and identifier format before the usage caveats, and the access boundary is stated crisply. It is a single unbroken block, and the trailing promotional sentence ('Full access: DFX Intelligence, 7 days free...') is not strictly definitional, which keeps it below a 5.

Shorter descriptions cost fewer tokens and are easier for agents to parse. Every sentence should earn its place.

Completeness5/5

Given the tool's complexity, does the description cover enough for an agent to succeed on first attempt?

For a 16-parameter, no-output-schema tool, the description is remarkably complete: it covers what is returned (compact cards with dfx:ria: ids), the fact-class provenance (reported/fact_from_registration/derived), entitlement/locked semantics, and the key data limitations an agent needs before trusting results.

Complex tools with many parameters or behaviors need more documentation. Simple tools need less. This dimension scales expectations accordingly.

Parameters4/5

Does the description clarify parameter syntax, constraints, interactions, or defaults beyond what the schema provides?

With 50% schema coverage, the description compensates well: it defines the accepted `query` formats (name, firm CRD, 801- SEC number, individual CRD with entity_type=advisor, 805- fund id) and groups the filters by entity type (firms by state/class/wealth_only/RAUM band/headcount/funds; advisors by firm CRD/state; funds by firm CRD/type). It does not address city, limit/sort/cursor, or every enum, so it stops short of full coverage.

Input schemas describe structure but not intent. Descriptions should explain non-obvious parameter relationships and valid value ranges.

Purpose5/5

Does the description clearly state what the tool does and how it differs from similar tools?

The description states a specific verb and resource (search RIA firms, advisors and private funds) and enumerates the concrete data classes returned (Form ADV RAUM, clients by type, IAPD registration history, private funds). It explicitly distinguishes itself from siblings by naming search_pe_firms and search_vc_firms as the tools for private equity/venture managers as investors.

Agents choose between tools based on descriptions. A clear purpose with a specific verb and resource helps agents select the right tool.

Usage Guidelines5/5

Does the description explain when to use this tool, when not to, or what alternatives exist?

It gives explicit when-not guidance ('Not for private equity or venture managers as investors (search_pe_firms, search_vc_firms)'), explains the overlap case ('the same adviser may appear on both graphs (get_entity same_as)'), and documents the accepted query input formats for routing among entity_type values.

Agents often have multiple tools that could apply. Explicit usage guidance like "use X instead of Y when Z" prevents misuse.

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