SEC Form ADV

liveFinanceCompliance

US investment-adviser firms and individuals from SEC Form ADV — registration status, assets under management and disciplinary history.

3tools

0msauth

free tier50 calls/day

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

No parameters required.

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Response

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

No parameters required.

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Response

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

No parameters required.

▶Try it

Response

Test with curl

The gateway speaks JSON-RPC 2.0 over HTTP POST. You can test any pack directly from the terminal.

List available tools

bash

curl -X POST https://gateway.pipeworx.io/sec-adv/mcp \
  -H "Content-Type: application/json" \
  -d '{"jsonrpc":"2.0","id":1,"method":"tools/list"}'

Call a tool

bash

curl -X POST https://gateway.pipeworx.io/sec-adv/mcp \
  -H "Content-Type: application/json" \
  -d '{"jsonrpc":"2.0","id":2,"method":"tools/call","params":{"name":"adv_search_firm","arguments":{}}}'

Use with the SDK

Install @pipeworx/sdk to call tools from any TypeScript/Node project.

TypeScript

import { Pipeworx } from '@pipeworx/sdk';
const px = new Pipeworx();
const result = await px.call("adv_search_firm", {});

ask_pipeworx

// Or ask in plain English:
const answer = await px.ask("us investment-adviser firms and individuals from sec form adv — registration status, assets under management and disciplinary history");

Related packs

Other Pipeworx packs in the same categories (Finance, Compliance):

MCP Config

claude_desktop_config.json

{
  "mcpServers": {
    "pipeworx-sec-adv": {
      "command": "npx",
      "args": [
        "-y",
        "mcp-remote",
        "https://gateway.pipeworx.io/sec-adv/mcp"
      ]
    }
  }
}