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Fintel Discovery — Financial Intelligence for AI Agents

Search SEC IAPD — Individual Advisors

SearchIAPDIndividual
Read-onlyIdempotent
    Search SEC IAPD (Investment Adviser Public Disclosure) for individual
    investment advisor representatives (IARs) by name. Returns CRD number,
    current employer, registration states, and exam history.

    Use this tool when:
    - You need to look up an individual financial advisor (not a firm)
    - You want to verify an advisor's IA registration status
    - You are doing due diligence on a named investment advisor representative

    For firm lookups, use SearchIAPDFirm instead.
    For broker/dealer individuals, use SearchBrokerCheck instead.

    Source: SEC IAPD public API (api.adviserinfo.sec.gov). No API key required.
    

Input Schema

NameRequiredDescriptionDefault
paramsNo

Output Schema

NameRequiredDescriptionDefault
resultYes

Schema Changelog

Changes observed during successful MCP inspections.

  1. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"498d9131-d794-4dd2-b1d6-b4d19d83cf35"New value: +"1e3db2ac-608d-4ff7-8b19-8fc78826e993"
  2. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"05525087-35e9-4aac-b06d-6d88ce386b2e"New value: +"498d9131-d794-4dd2-b1d6-b4d19d83cf35"
  3. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"f258bd16-f060-4e4a-a55d-221a0484866d"New value: +"05525087-35e9-4aac-b06d-6d88ce386b2e"
  4. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"5f4db44b-e5cc-4f3a-8da3-ac591a019c81"New value: +"f258bd16-f060-4e4a-a55d-221a0484866d"
  5. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"d9f77642-e017-4785-9150-e658c2dba3a0"New value: +"5f4db44b-e5cc-4f3a-8da3-ac591a019c81"
  6. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"dbe99169-c071-4ed4-9ae9-8bbfb9a88ad8"New value: +"d9f77642-e017-4785-9150-e658c2dba3a0"
  7. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"3775b46a-5aa8-4586-af57-2453c8bcd08c"New value: +"dbe99169-c071-4ed4-9ae9-8bbfb9a88ad8"
  8. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"d81a5175-11e9-494a-baa5-71d4ffad4ab9"New value: +"3775b46a-5aa8-4586-af57-2453c8bcd08c"
  9. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"9e7f8798-7d22-4378-b93d-179c6f8cb854"New value: +"d81a5175-11e9-494a-baa5-71d4ffad4ab9"
  10. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"9919ff85-e960-472f-863b-3de4c5abed9f"New value: +"9e7f8798-7d22-4378-b93d-179c6f8cb854"
  11. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"38452924-d5df-4668-b51c-d7cd5acabc09"New value: +"9919ff85-e960-472f-863b-3de4c5abed9f"
  12. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"fa72f604-6239-428b-81df-11f07c2c8d00"New value: +"38452924-d5df-4668-b51c-d7cd5acabc09"
  13. Changed1 schema field changed
    • changedInput schema / $defs / IAPDIndividualSearchParams / properties / mcp_prompt_id / default
      Previous value: -"7b866f24-13ab-4e54-8d3a-f775612c393f"New value: +"fa72f604-6239-428b-81df-11f07c2c8d00"
  14. First observed

TDQS

A4.3/5.0
Behavior4/5

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

Annotations already declare readOnlyHint/idempotentHint and no destruction, so the description does not need to restate safety. It adds value beyond them by naming the upstream source (api.adviserinfo.sec.gov), confirming no API key is needed, and enumerating the returned fields (CRD, employer, registration states, exam history). It does not disclose what happens when 'name' is left null or whether result sets are capped/paginated, which is the remaining gap.

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?

Front-loaded purpose sentence, then a scannable when-to-use list, then sibling routing, then provenance. Each block earns its place, though the bullets partially restate the opening sentence and could be tightened.

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

Completeness4/5

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

With an output schema and full annotations present, the description need not explain return values or safety, and it correctly focuses on routing, source/auth context, and result content. It is nearly complete; only the optional-name behavior and result-set sizing are unaddressed.

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

Parameters3/5

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

Reported schema description coverage is 0% at the top level, so the description must carry weight; it does establish that name-based lookup is the primary axis and lists the output fields available. However, it never mentions state filtering, row limits, or the cache-passing/resource-id pattern that the nested schema exposes, so an agent reading only the description would miss meaningful invocation options.

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?

States a specific verb and resource ('Search SEC IAPD ... for individual investment advisor representatives') and immediately scopes it to individuals rather than firms. The title, description, and named siblings (SearchIAPDFirm, SearchBrokerCheck) make the object of the search unambiguous.

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?

Provides an explicit 'Use this tool when' list covering the three canonical intents (individual lookup, IA registration verification, due diligence) and explicitly routes firm lookups and broker/dealer individuals to named alternative tools. Nothing is left to inference about when not to use it.

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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