mcp-sec-adv
OfficialClick on "Deploy Server".
Wait a few minutes for the server to deploy. Once ready, it will show a "Started" state.
In the chat, type
@followed by the MCP server name and your instructions, e.g., "@mcp-sec-advSearch for investment adviser firm BlackRock and return its CRD number"
That's it! The server will respond to your query, and you can continue using it as needed.
Here is a step-by-step guide with screenshots.
mcp-sec-adv
SEC ADV / IAPD MCP — SEC Investment Adviser Public Disclosure (Form ADV) lookup
Part of Pipeworx — an MCP gateway connecting AI agents to 1576+ live data sources.
Tools
Tool | Description |
| Search SEC-registered investment adviser (RIA) and broker-dealer firms by name via the IAPD / Form ADV public directory. Returns matching firms with CRD number, SEC number, registration scope, disclosure flag, branch count, and office address. Use adv_firm_profile with a returned CRD for full detail. |
| Get the SEC Form ADV / IAPD profile for an investment-adviser firm by its CRD number (the firm_source_id / CRD returned by adv_search_firm). Returns basic firm info, registration status, SEC number, notice-filing jurisdictions, disclosure flag, Form ADV Part 2 brochure list, and direct links to the full Form ADV report PDF. Note: reported AUM, client counts, and detailed disciplinary/disclosure narratives live inside the Form ADV filing itself — use the returned brochure/report PDF links for those. |
| Search individual investment-adviser representatives / brokers by name via the IAPD public directory. Returns matching individuals with their CRD number, name, registration scope, disclosure flag, and current employing firm(s) with city/state. |
Related MCP server: SEC EDGAR MCP Server
Quick Start
Add to your MCP client (Claude Desktop, Cursor, Windsurf, etc.):
{
"mcpServers": {
"sec-adv": {
"url": "https://gateway.pipeworx.io/sec-adv/mcp"
}
}
}What this endpoint actually serves
tools/list at https://gateway.pipeworx.io/sec-adv/mcp returns the tools in the table
above plus the shared Pipeworx meta-tools — ask_pipeworx,
discover_tools, search_within, remember/recall and the rest of the
gateway-wide set. So the tool count you see is larger than this table: a
single-pack endpoint currently lists roughly 30 shared tools alongside the
pack's own. The connection's initialize response states its exact scope, and
is the authoritative answer for a given day.
This is deliberate, not multiplexing by accident. The meta-tools are what let a
scoped connection answer a question this pack does not cover — via
ask_pipeworx, which routes across the whole catalog — without you adding a
second MCP server. There is currently no way to mount a pack endpoint without
them; if the extra schemas cost you more context than the routing is worth,
connect to the full gateway once rather than to several pack endpoints.
Or connect to the full Pipeworx gateway to get every pack's tools listed directly, instead of just this one's:
{
"mcpServers": {
"pipeworx": {
"url": "https://gateway.pipeworx.io/mcp"
}
}
}Both URLs reach the same gateway and the same 1576+ data sources. The
only difference is which pack's tools are listed directly; ask_pipeworx
reaches all of them from either one.
Standalone (no gateway account)
This package also runs as a local stdio MCP server — no Pipeworx account, no gateway round-trip:
{
"mcpServers": {
"sec-adv": {
"command": "npx",
"args": ["-y", "@pipeworx/mcp-sec-adv"]
}
}
}Or run it directly to confirm it starts:
npx -y @pipeworx/mcp-sec-advIt speaks MCP over stdin/stdout and answers initialize/tools/list/tools/call
for only this pack's tools — none of the shared meta-tools the gateway
connection above adds. Same source, same tools, no ask_pipeworx routing.
Using with ask_pipeworx
Instead of calling tools directly, you can ask questions in plain English — this works on the pack endpoint above as well as on the full gateway:
ask_pipeworx({ question: "your question about Sec Adv data" })The gateway picks the right tool and fills the arguments automatically.
More
License
MIT
This server cannot be deployed
Maintenance
Related MCP Connectors
Search and vet SEC-registered financial advisors: profiles, disclosures, firm fees, credentials.
Regulated-firm intelligence for FCA and SEC search, enrichment, relationships and saved workflows.
Search SEC EDGAR filings, financial statements, and company data.
FINRA BrokerCheck MCP — individual broker / adviser and firm disciplinary lookup
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