AdvisorFinder - SEC Investment Advisor Data

Queries live SEC IAPD (Investment Adviser Public Disclosure) database to retrieve detailed profiles of SEC-registered investment advisers by name, CRD number, or firm affiliation. Implements direct integration with SEC's regulatory data feeds, enabling real-time verification against 335,000+ active adviser records and 26,000+ registered firms with sub-second latency through indexed database queries rather than web scraping.

Extracts and structures employment history, professional affiliations, and career progression data from SEC IAPD records for individual investment advisers. Parses regulatory disclosure documents to identify prior firms, tenure dates, and role transitions, presenting employment timelines in queryable structured format rather than unstructured PDF text.

Retrieves and indexes disclosed outside business activities, side businesses, and potential conflicts of interest reported by advisers in SEC Form ADV filings. Parses regulatory disclosure sections to surface non-advisory business engagements, board memberships, and other activities that may create conflicts, enabling risk teams to identify undisclosed or material conflicts.

Computes risk scores and flags regulatory red flags for individual advisers based on SEC IAPD data patterns, including disciplinary history, disclosure completeness, outside activities, and registration anomalies. Implements pattern-matching algorithms against known risk indicators (e.g., multiple firm changes, undisclosed conflicts, regulatory actions) to surface high-risk advisers without requiring manual review.

Aggregates adviser-level data into firm-level statistics, including adviser count, average experience, disciplinary rates, and compliance metrics across 26,000+ registered investment firms. Implements SQL-based aggregation queries to compute firm benchmarks and population distributions, enabling comparative analysis of firm quality and compliance posture.

Supports batch queries to retrieve profiles for multiple advisers in a single MCP request, enabling efficient bulk verification workflows. Implements request batching and parallel query execution to retrieve 100+ adviser profiles with latency proportional to largest single query rather than sum of individual queries.

Maintains live synchronization with SEC IAPD data feeds, updating adviser records as changes occur in the authoritative SEC database. Implements change-detection and incremental update mechanisms to refresh adviser profiles without requiring full re-queries, ensuring data freshness within hours of SEC filing updates.