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Fintel Discovery — Financial Intelligence for AI Agents

by io.github.findimitrov
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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

Schema Changelog

Changes observed during successful MCP inspections.

  1. 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"
  2. 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"
  3. 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"
  4. 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"
  5. 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"
  6. 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"
  7. 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"
  8. 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"
  9. 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"
  10. 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"
  11. First observed

TDQS

A4.4/5.0
Behavior4/5

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

Annotations already declare readOnlyHint, idempotentHint, and destructiveHint, so the safety profile is covered. The description adds valuable context: it identifies the data source as a public API and states that no API key is required, which is behaviorally relevant for an agent deciding on authentication. Minor omissions like rate limits are not critical given the annotations.

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 with a clear opening, bullet-point usage guidelines, and explicit alternative routing. It is concise, front-loads the core purpose, and every sentence serves a purpose without redundancy.

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 present, the description need not explain return formats. It covers the core functionality, usage scenarios, and alternatives. The schema documents parameters thoroughly. The only minor gap is the lack of mention of pagination or rate limits, but these are not essential for correct invocation given the annotations and schema.

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 does not discuss parameters at all, but the input schema contains detailed descriptions for every property (name, rows, state, etc.), including examples and notes. Since schema description coverage is effectively high, the description need not compensate; the schema carries the load, so a baseline score of 3 is appropriate.

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 clearly states the tool searches SEC IAPD for individual investment advisor representatives by name, listing specific return fields (CRD number, employer, registration states, exam history). It explicitly differentiates from sibling tools (SearchIAPDFirm, SearchBrokerCheck), making the purpose 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?

The description provides explicit when-to-use conditions (look up individual advisor, verify IA registration, due diligence) and names the alternative tools for firm lookups and broker/dealer individuals. This directly addresses selection criteria without leaving inference to the agent.

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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