U.S. SEC Investment Adviser Filings
SEC investment adviser and exempt-reporting adviser records with assets under management, client mix, services and monthly filing comparisons.
- Primary rows
- 23,988
- Primary fields
- 120
- Coverage
- US
- Source snapshot
- Oct 3, 2026
Each primary row: One organization CRD number within each SEC reporting population in the October 2026 edition.
Sample data
Download sample100 sample rows as CSV · all 120 primary fields.
[] / {} Empty collection0 / false Recorded valuesDownload field definitions (CSV)
Download sample documentation (ZIP)Included data
- 23,988 adviser records include reported contacts, regulatory assets under management, client categories, services, fee types and workforce fields.
- A history table retains the September 1 and October 2, 2026 report editions. A separate table identifies selected reported changes.
- Field definitions name the relevant Form ADV categories, dollar amounts and count units.
What’s in the package
- advisers.csv23,988 rows · 120 fields
- report_history.csv47,823 rows · 120 fields
One organization CRD, source population and captured monthly report edition.
- observed_changes.csv2,353 rows · 9 fields
One latest population/CRD appearing or changing selected fields compared with September.
Companion table fields
report_history.csv120 fields
| Field | Definition & format |
|---|---|
Adviser key adviser_key | Source population plus organization CRD; SEC registered and exempt-reporting populations remain distinct.
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Report record ID report_record_id | Edition date, population and organization CRD.
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Report edition report_edition | Publisher monthly report edition date, separate from adviser filing date and ZIP member filename.
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Source archive source_archive | Captured archive evidence filename.
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Source csv member source_csv_member | Exact publisher member filename; October registered ZIP uses a September-style member name.
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Item 5 reporting scope item5_reporting_scope | Exempt-reporting advisers are not required to file Item 5; missing AUM and employee figures are never zero.
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Private main office withheld private_main_office_withheld | True when street, postal code and phone were withheld because the source marks a private residence.
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Regulatory AUM total USD regulatory_aum_total_usd | Item 5F(2)(c), regulatory assets under management in USD; commas/outer spaces removed, no zero filling.
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Regulatory AUM discretionary USD regulatory_aum_discretionary_usd | Item 5F(2)(a), discretionary regulatory assets under management in USD.
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Regulatory AUM nondiscretionary USD regulatory_aum_nondiscretionary_usd | Item 5F(2)(b), non-discretionary regulatory assets under management in USD.
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Employee count employee_count | Approximate full- and part-time employees excluding clerical workers; a sole proprietor includes themself. Form ADV .
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Organization CRD number organization_crd | Organization identifier in the Central Registration Depository (CRD).
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SEC file number sec_number | SEC investment adviser file number.
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Central Index Key cik | SEC Central Index Key, if reported.
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Business name business_name | Primary business name in the adviser filing.
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Legal name legal_name | Legal name in the adviser filing.
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Firm type firm_type | SEC report classification of the firm, including registered and exempt reporting advisers.
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Region region | SEC region assigned in the report.
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Street 1 street_1 | First line of the main office address; withheld when the source flags a private residence.
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Street 2 street_2 | Second line of the main office address; withheld when the source flags a private residence.
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City city | Main office city.
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State state | Main office state.
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Country country | Main office country.
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Postal code postal_code | Main office postal code.
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Main office private residence flag main_office_private_residence_flag | Source flag indicating that the main office is a private residence.
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Phone phone | Main office telephone number; withheld with a flagged private residence.
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Website website | Website address in the adviser report.
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Status status | SEC registration/reporting status in the captured edition.
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Status effective date status_effective_date | Effective date of the reported SEC status.
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Latest filing date latest_filing_date | Latest ADV filing date stated in the report; distinct from report capture date.
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Form version form_version | Version of Form ADV used for the filing.
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Umbrella registration umbrella_registration | Reported umbrella-registration response for the filing adviser and relying advisers.
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Relying adviser count relying_adviser_count | Total number of relying advisers reported under umbrella registration.
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Organization form organization_form | Legal form of organization reported in Form ADV Item 3A.
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Fiscal year end fiscal_year_end | Fiscal-year ending month reported in Item 3B.
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Organization state organization_state | State of organization reported in Item 3C.
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Organization country organization_country | Country of organization reported in Item 3C.
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Employee count reported employee_count_reported | Approximate full- and part-time employees excluding clerical workers; a sole proprietor includes themself. Form ADV 5A.
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AUM total reported aum_total_reported | Total regulatory assets under management reported in Item 5F(2)(c).
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AUM discretionary reported aum_discretionary_reported | Discretionary regulatory assets under management reported in Item 5F(2)(a).
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AUM nondiscretionary reported aum_nondiscretionary_reported | Nondiscretionary regulatory assets under management reported in Item 5F(2)(b).
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Account count total reported account_count_total_reported | Total number of accounts included in regulatory AUM, Item 5F(2)(f).
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Private fund count reported private_fund_count_reported | Count of private funds reported in Item 7B(1).
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Private fund gross assets reported private_fund_gross_assets_reported | Aggregate gross assets of reported private funds; distinct from regulatory AUM.
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Custody amount reported custody_amount_reported | Total custody amount in the SEC report summary; not regulatory AUM or a client count.
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Individuals other than high net worth individuals — client count client_a_client_count_reported | Individuals other than high net worth individuals: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(a)(1).
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Individuals other than high net worth individuals — fewer than five clients indicator client_a_fewer_than_five_clients_reported | Individuals other than high net worth individuals: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(a)(2).
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Individuals other than high net worth individuals — regulatory AUM client_a_aum_reported | Individuals other than high net worth individuals: reported regulatory assets under management in U.S. dollars. Form ADV 5D(a)(3).
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High net worth individuals — client count client_b_client_count_reported | High net worth individuals: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(b)(1).
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High net worth individuals — fewer than five clients indicator client_b_fewer_than_five_clients_reported | High net worth individuals: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(b)(2).
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High net worth individuals — regulatory AUM client_b_aum_reported | High net worth individuals: reported regulatory assets under management in U.S. dollars. Form ADV 5D(b)(3).
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Banking or thrift institutions — client count client_c_client_count_reported | Banking or thrift institutions: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(c)(1).
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Banking or thrift institutions — fewer than five clients indicator client_c_fewer_than_five_clients_reported | Banking or thrift institutions: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(c)(2).
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Banking or thrift institutions — regulatory AUM client_c_aum_reported | Banking or thrift institutions: reported regulatory assets under management in U.S. dollars. Form ADV 5D(c)(3).
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Investment companies — client count client_d_client_count_reported | Investment companies: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(d)(1).
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Investment companies — fewer than five clients indicator client_d_fewer_than_five_clients_reported | Investment companies: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(d)(2).
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Investment companies — regulatory AUM client_d_aum_reported | Investment companies: reported regulatory assets under management in U.S. dollars. Form ADV 5D(d)(3).
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Business development companies — client count client_e_client_count_reported | Business development companies: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(e)(1).
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Business development companies — fewer than five clients indicator client_e_fewer_than_five_clients_reported | Business development companies: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(e)(2).
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Business development companies — regulatory AUM client_e_aum_reported | Business development companies: reported regulatory assets under management in U.S. dollars. Form ADV 5D(e)(3).
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Pooled investment vehicles other than investment companies and business development companies — client count client_f_client_count_reported | Pooled investment vehicles other than investment companies and business development companies: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(f)(1).
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Pooled investment vehicles other than investment companies and business development companies — fewer than five clients indicator client_f_fewer_than_five_clients_reported | Pooled investment vehicles other than investment companies and business development companies: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(f)(2).
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Pooled investment vehicles other than investment companies and business development companies — regulatory AUM client_f_aum_reported | Pooled investment vehicles other than investment companies and business development companies: reported regulatory assets under management in U.S. dollars. Form ADV 5D(f)(3).
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Pension and profit sharing plans excluding plan participants and government pension plans — client count client_g_client_count_reported | Pension and profit sharing plans excluding plan participants and government pension plans: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(g)(1).
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Pension and profit sharing plans excluding plan participants and government pension plans — fewer than five clients indicator client_g_fewer_than_five_clients_reported | Pension and profit sharing plans excluding plan participants and government pension plans: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(g)(2).
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Pension and profit sharing plans excluding plan participants and government pension plans — regulatory AUM client_g_aum_reported | Pension and profit sharing plans excluding plan participants and government pension plans: reported regulatory assets under management in U.S. dollars. Form ADV 5D(g)(3).
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Charitable organizations — client count client_h_client_count_reported | Charitable organizations: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(h)(1).
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Charitable organizations — fewer than five clients indicator client_h_fewer_than_five_clients_reported | Charitable organizations: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(h)(2).
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Charitable organizations — regulatory AUM client_h_aum_reported | Charitable organizations: reported regulatory assets under management in U.S. dollars. Form ADV 5D(h)(3).
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State or municipal government entities including government pension plans — client count client_i_client_count_reported | State or municipal government entities including government pension plans: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(i)(1).
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State or municipal government entities including government pension plans — fewer than five clients indicator client_i_fewer_than_five_clients_reported | State or municipal government entities including government pension plans: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(i)(2).
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State or municipal government entities including government pension plans — regulatory AUM client_i_aum_reported | State or municipal government entities including government pension plans: reported regulatory assets under management in U.S. dollars. Form ADV 5D(i)(3).
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Other investment advisers — client count client_j_client_count_reported | Other investment advisers: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(j)(1).
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Other investment advisers — fewer than five clients indicator client_j_fewer_than_five_clients_reported | Other investment advisers: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(j)(2).
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Other investment advisers — regulatory AUM client_j_aum_reported | Other investment advisers: reported regulatory assets under management in U.S. dollars. Form ADV 5D(j)(3).
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Insurance companies — client count client_k_client_count_reported | Insurance companies: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(k)(1).
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Insurance companies — fewer than five clients indicator client_k_fewer_than_five_clients_reported | Insurance companies: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(k)(2).
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Insurance companies — regulatory AUM client_k_aum_reported | Insurance companies: reported regulatory assets under management in U.S. dollars. Form ADV 5D(k)(3).
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Sovereign wealth funds and foreign official institutions — client count client_l_client_count_reported | Sovereign wealth funds and foreign official institutions: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(l)(1).
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Sovereign wealth funds and foreign official institutions — fewer than five clients indicator client_l_fewer_than_five_clients_reported | Sovereign wealth funds and foreign official institutions: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(l)(2).
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Sovereign wealth funds and foreign official institutions — regulatory AUM client_l_aum_reported | Sovereign wealth funds and foreign official institutions: reported regulatory assets under management in U.S. dollars. Form ADV 5D(l)(3).
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Corporations or other businesses not listed above — client count client_m_client_count_reported | Corporations or other businesses not listed above: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(m)(1).
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Corporations or other businesses not listed above — fewer than five clients indicator client_m_fewer_than_five_clients_reported | Corporations or other businesses not listed above: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(m)(2).
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Corporations or other businesses not listed above — regulatory AUM client_m_aum_reported | Corporations or other businesses not listed above: reported regulatory assets under management in U.S. dollars. Form ADV 5D(m)(3).
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Other clients — client count client_n_client_count_reported | Other clients: reported client count; blank is not zero and can reflect use of the fewer-than-five checkbox. Form ADV 5D(n)(1).
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Other clients — fewer than five clients indicator client_n_fewer_than_five_clients_reported | Other clients: fewer-than-five-clients checkbox; blank is not zero. This checkbox is not applicable to Item 5D categories d, e or f. Form ADV 5D(n)(2).
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Other clients — regulatory AUM client_n_aum_reported | Other clients: reported regulatory assets under management in U.S. dollars. Form ADV 5D(n)(3).
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Financial planning services advisory_service_1_reported | Financial planning services: reported checkbox response. Form ADV 5G(1).
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Portfolio management for individuals or small businesses advisory_service_2_reported | Portfolio management for individuals or small businesses: reported checkbox response. Form ADV 5G(2).
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Portfolio management for investment companies and business development companies advisory_service_3_reported | Portfolio management for investment companies and business development companies: reported checkbox response. Form ADV 5G(3).
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Portfolio management for pooled investment vehicles other than investment companies advisory_service_4_reported | Portfolio management for pooled investment vehicles other than investment companies: reported checkbox response. Form ADV 5G(4).
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Portfolio management for other businesses or institutional clients advisory_service_5_reported | Portfolio management for other businesses or institutional clients: reported checkbox response. Form ADV 5G(5).
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Pension consulting services advisory_service_6_reported | Pension consulting services: reported checkbox response. Form ADV 5G(6).
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Selection of other advisers including private fund managers advisory_service_7_reported | Selection of other advisers including private fund managers: reported checkbox response. Form ADV 5G(7).
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Publication of periodicals or newsletters advisory_service_8_reported | Publication of periodicals or newsletters: reported checkbox response. Form ADV 5G(8).
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Security ratings or pricing services advisory_service_9_reported | Security ratings or pricing services: reported checkbox response. Form ADV 5G(9).
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Market timing services advisory_service_10_reported | Market timing services: reported checkbox response. Form ADV 5G(10).
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Educational seminars or workshops advisory_service_11_reported | Educational seminars or workshops: reported checkbox response. Form ADV 5G(11).
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Other advisory services advisory_service_12_reported | Other advisory services: reported checkbox response. Form ADV 5G(12).
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Percentage of assets under management compensation_type_1_reported | Percentage of assets under management: reported checkbox response. Form ADV 5E(1).
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Hourly charges compensation_type_2_reported | Hourly charges: reported checkbox response. Form ADV 5E(2).
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Subscription fees for newsletters or periodicals compensation_type_3_reported | Subscription fees for newsletters or periodicals: reported checkbox response. Form ADV 5E(3).
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Fixed fees other than subscription fees compensation_type_4_reported | Fixed fees other than subscription fees: reported checkbox response. Form ADV 5E(4).
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Commissions compensation_type_5_reported | Commissions: reported checkbox response. Form ADV 5E(5).
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Performance-based fees compensation_type_6_reported | Performance-based fees: reported checkbox response. Form ADV 5E(6).
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Other compensation compensation_type_7_reported | Other compensation: reported checkbox response. Form ADV 5E(7).
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Employees performing investment advisory functions including research workforce_item_5b_1 | Employees performing investment advisory functions including research. Categories overlap; do not add as unique employees. Form ADV 5B(1).
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Employees registered as broker-dealer representatives workforce_item_5b_2 | Employees registered as broker-dealer representatives. Categories overlap; do not add as unique employees. Form ADV 5B(2).
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Employees registered with state securities authorities as investment adviser representatives workforce_item_5b_3 | Employees registered with state securities authorities as investment adviser representatives. Categories overlap; do not add as unique employees. Form ADV 5B(3).
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Employees registered as investment adviser representatives for another adviser workforce_item_5b_4 | Employees registered as investment adviser representatives for another adviser. Categories overlap; do not add as unique employees. Form ADV 5B(4).
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Employees licensed as insurance agents workforce_item_5b_5 | Employees licensed as insurance agents. Categories overlap; do not add as unique employees. Form ADV 5B(5).
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Firms or other persons soliciting advisory clients on behalf of the adviser, excluding its employees workforce_item_5b_6 | Firms or other persons soliciting advisory clients on behalf of the adviser, excluding its employees. Categories overlap; do not add as unique employees. Form ADV 5B(6).
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Adviser custody of cash/accounts custody_9a_1_a_reported | Whether the adviser reports custody of client cash or bank accounts, subject to Item 9A exclusions.
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Adviser custody of securities custody_9a_1_b_reported | Whether the adviser reports custody of client securities, subject to Item 9A exclusions.
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Adviser custody amount custody_9a_2_a_reported | Adviser reported custody of client funds and securities, U.S. dollars; subject to the exclusions and applicability rules in Form ADV Item 9. Form ADV 9A(2)(a).
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Adviser custody client count custody_9a_2_b_reported | Adviser reported custody client count; source scope excludes registered investment companies. Form ADV 9A(2)(b).
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Related-person custody of cash/accounts custody_9b_1_a_reported | Whether related persons report custody of client cash or bank accounts, Item 9B.
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Related-person custody of securities custody_9b_1_b_reported | Whether related persons report custody of client securities, Item 9B.
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Related-person custody amount custody_9b_2_a_reported | Related persons reported custody of client funds and securities, U.S. dollars; subject to the exclusions and applicability rules in Form ADV Item 9. Form ADV 9B(2)(a).
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Related-person custody client count custody_9b_2_b_reported | Related persons reported custody client count; source scope excludes registered investment companies. Form ADV 9B(2)(b).
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observed_changes.csv9 fields
| Field | Definition & format |
|---|---|
Change ID change_id | Population and CRD key of the observed change.
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Adviser key adviser_key | Join to adviser and history records.
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Previous edition previous_edition | Earlier captured monthly publication date.
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Current edition current_edition | Later captured monthly publication date.
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Observation observation | Appeared in this captured population or selected reported fields changed; not verification of new registration.
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Changed fields json changed_fields_json | Changed selected field names, comparing exact delivered values.
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Prior regulatory AUM USD prior_regulatory_aum_usd | Prior reported regulatory AUM, blank when unavailable or no prior population record.
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Current regulatory AUM USD current_regulatory_aum_usd | Current reported regulatory AUM, blank when unavailable.
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Regulatory AUM change USD regulatory_aum_change_usd | Exact difference only when both reported AUM values exist; not investment returns, inflows or performance.
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Field coverage
Data notes
Coverage counts use the full tables. They exclude blank cells and empty JSON collections; zero and false count as populated.
- State-only advisers are excluded. Registered and exempt-reporting advisers have different filing requirements; missing exempt-adviser AUM is not zero.
- Facts reflect captured reports, not live registration verification. SEC publication does not certify the accuracy of submitted figures.
- AUM differences are changes in reported figures, not investment returns or net inflows. Disappearance from an edition does not prove cancellation.
- Private-residence street, postal and phone details flagged by the source, and individual contacts, are withheld.
- The October registered-adviser ZIP contains a September-style CSV filename. The report edition and original member name remain separate.