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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

TableJSON Schema
NameRequiredDescriptionDefault
paramsNo

Output Schema

TableJSON Schema
NameRequiredDescriptionDefault
resultYes

TDQS

A4.4/5.0
Behavior4/5

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

Annotations already indicate readOnlyHint=true, idempotentHint=true, and destructiveHint=false, so the safety profile is clear. The description adds useful context beyond this: it identifies the public SEC API source, notes that no API key is required, and summarizes what data is returned. It does not mention rate limits or pagination, but those are minor given the non-destructive read-only nature.

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

Conciseness5/5

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

The description is well-structured and front-loaded with the core purpose, followed by concise when-to-use bullets and explicit alternatives. Every section adds value, and the source/authentication note is brief and relevant. No filler or redundant explanation.

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?

For a read-only lookup tool, the description covers the key context: what it searches, when to use it, when not to use it, the data source, and authentication requirements. The output schema and annotations cover return structure and safety. Minor gaps remain around pagination, rate limits, and optional state-based narrowing, but the definition is complete enough for an agent to select and invoke the tool correctly.

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?

The description calls out the primary input ('by name') but does not mention other useful parameters like state, rows, or additional filters. Although the nested input schema provides detailed property descriptions, the contextual signal shows 0% schema description coverage, so the description should compensate more than it does. It is adequate for selecting and making a basic call, but not for fully understanding available filtering 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?

The description uses a specific verb-resource pair: 'Search SEC IAPD' for 'individual investment advisor representatives,' and explicitly lists the return fields (CRD number, current employer, registration states, exam history). It also distinguishes itself from firm lookups by stating 'not a firm,' so an agent can immediately tell this is the individual-advisor search tool.

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?

The description provides explicit when-to-use conditions in three bullets and names two concrete alternatives: SearchIAPDFirm for firms and SearchBrokerCheck for broker/dealer individuals. This gives an agent clear selection criteria and prevents confusion with sibling tools.

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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TDQS

A3.9/5.0
Disambiguation4/5

Most tools target a distinct resource and action, with clear separation between search and detail tools (e.g., SearchIAPDFirm vs GetIAPDFirmDetail, SearchBrokerCheck vs GetBrokerCheckDetail). A few pairs like SearchBrokerCheck and SearchBrokerCheckFirm could cause momentary confusion, but descriptions clarify individual vs firm scope.

Naming Consistency4/5

The dominant pattern is consistent: Search* for discovery, Get* for retrieval, with CamelCase throughout. Minor deviations like LookupTicker and MapInstrumentIds introduce different verbs, and SearchBrokerCheck does not explicitly signal 'individual' unlike SearchBrokerCheckFirm, but the overall convention remains predictable.

Tool Count2/5

With 32 tools, the surface is quite heavy and exceeds the 25+ threshold for 'too many.' While the financial intelligence domain is broad, several search/detail pairs and overlapping data-source tools could be consolidated to reduce cognitive load for agents.

Completeness4/5

The toolset covers major workflows well: 13F holdings, fund fee comparison, advisor due diligence, macro data, price history, options, and identifier mapping. Minor gaps exist, such as no standalone real-time quote tool, no news/sentiment data, and no direct CUSIP-to-company-name search, but these are workable around.

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