@pipeworx/sec-adv

Connect: https://pipeworx.io/mcp — every tool in the catalog, including @pipeworx/sec-adv’s. Install: one-click buttons

No MCP client? Skip the connection: POST https://gateway.pipeworx.io/v1/tools/search_packs {"query":"..."} to find a tool below, GET /v1/tools/<name> for its schema, POST the same URL with arguments for the data — see For AI agents.

Tools: 3

SEC Investment Adviser Public Disclosure (Form ADV) lookup: firm search, firm profile by CRD, individual search.

adv_firm_profile also returns regulatory_aum, the firm’s Form ADV Part 1A Item 5.F figures: discretionary, non-discretionary and total regulatory assets under management (USD), account counts, and AUM attributable to non-US-person clients, each with the filing date and the dataset’s data_as_of.

Sources

• U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure directory (live, per request).
• U.S. Securities and Exchange Commission, Division of Investment Management, Information About Registered Investment Advisers (monthly release; US federal data, public domain). Refreshed monthly by scripts/bake-sec-adv-aum.mjs; covers SEC-registered advisers only (state-registered and exempt reporting advisers have no row, and regulatory_aum.available is false with the reason).

Tools

• adv_search_firm — 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, disclos
• adv_firm_profile — 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, n
• adv_search_individual — 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