# SEC Investment Adviser Lookup

> SEC Investment Adviser Lookup is a paid API for AI agents from api.chainmarket-api.workers.dev, paid per call via x402, $0.002/call, status unknown (last checked 2026-10-24).

Looks up a registered investment adviser's SEC registration details by CRD number or firm name, returning status, address, Form ADV filings, and registration history.

## Facts

- Endpoint: GET https://api.chainmarket-api.workers.dev/api/finance/sec-investment-adviser?utm_source=zero.xyz
- Price: $0.002/call
- Payment: x402
- Status: unknown
- Last checked: 2026-10-24
- Activations on Zero: 0
- Tags: x402
- Canonical page: https://www.zero.xyz/c/sec-investment-adviser-lookup-373fb5b7
- Structured record (JSON): https://api.zero.xyz/v1/capabilities/cap_bghNCWhHDliJQFocCPoMQ

Status and success rate cover calls made through Zero and Zero's own probes. Third-party monitors may report differently.

## How to call it through Zero

Zero handles the 402 payment challenge and records the run. With the Zero CLI installed (`npm i -g @zeroxyz/cli`):

```sh
zero fetch --capability sec-investment-adviser-lookup-373fb5b7
```

Example prompt: Can you look up the SEC registration status and Form ADV filing for Vanguard Group — their CRD number is 105958?

## When to prefer this

Use this endpoint when you need to quickly verify SEC investment adviser registration status, retrieve Form ADV filings, or look up regulatory details for a financial advisory firm without needing a full EDGAR account or SEC API key. Ideal for compliance checks, due diligence workflows, and agent pipelines that need pay-per-call access with no signup overhead.

## Known failure modes

- No matching adviser found for the given name or CRD — returns empty or error response
- Multiple name matches exist and the first active match may not be the intended firm
- CRD number is invalid or not found in the SEC database
- Data may be slightly stale relative to the live IAPD system
- Firm may be registered at state level only and appear inactive at SEC level

## How this service works

Investment adviser firm record from the SEC IAPD (Form ADV) by CRD number or firm name: legal and other names, adviser status, SEC file number, latest Form ADV filing date and PDF link, office address, SEC / state / exempt-reporting registration flags, registration history, state notice filings and brochure list, plus the IAPD page.

## Output

Returns a JSON object containing the firm's CRD number, SEC number, full legal name, known alternative names, current adviser status (ACTIVE/INACTIVE), registered address, SEC registration details with effective date and jurisdiction, Form ADV PDF link, IAPD profile URL, latest Form ADV filing date, notice filings, and whether the firm is SEC-registered or state-registered.

## Request schema (JSON Schema)

```json
{
 "type": "object",
 "$schema": "https://json-schema.org/draft/2020-12/schema",
 "required": [
  "input"
 ],
 "properties": {
  "input": {
   "type": "object",
   "required": [
    "type",
    "method"
   ],
   "properties": {
    "type": {
     "type": "string",
     "const": "http"
    },
    "method": {
     "enum": [
      "GET"
     ],
     "type": "string"
    },
    "queryParams": {
     "type": "object",
     "properties": {
      "crd": {
       "type": "string",
       "description": "Firm CRD number, e.g. 105958"
      },
      "name": {
       "type": "string",
       "description": "Or a firm name; the first active adviser match is used"
      }
     }
    }
   },
   "additionalProperties": false
  },
  "output": {
   "type": "object",
   "required": [
    "type"
   ],
   "properties": {
    "type": {
     "type": "string"
    },
    "example": {
     "type": "object"
    }
   }
  }
 }
}
```

## Response schema (JSON Schema)

```json
{
 "type": "json",
 "example": {
  "crd": "105958",
  "url": "https://adviserinfo.sec.gov/firm/summary/105958",
  "name": "VANGUARD GROUP INC",
  "source": "https://api.adviserinfo.sec.gov/search/firm/105958",
  "address": "100 VANGUARD BLVD, MALVERN, PA, 19355, United States",
  "brochures": [],
  "checkedAt": "2026-10-23T09:36:12.030Z",
  "secNumber": "801-11953",
  "formAdvPdf": "https://reports.adviserinfo.sec.gov/reports/ADV/105958/PDF/105958.pdf",
  "otherNames": [
   "THE VANGUARD GROUP, INC.",
   "VANGUARD GROUP INC"
  ],
  "matchedFrom": "vanguard group",
  "adviserStatus": "ACTIVE",
  "noticeFilings": [],
  "registrations": [
   {
    "status": "Approved",
    "effective": "1976-08-23",
    "jurisdiction": "SEC"
   }
  ],
  "secRegistered": true,
  "stateRegistered": false,
  "latestFormAdvFiling": "2026-10-16",
  "exemptReportingAdviser": false
 }
}
```

## More

- Live health (JSON, refreshed every minute): https://www.zero.xyz/c/sec-investment-adviser-lookup-373fb5b7/health.json
- [Zero catalog index](https://www.zero.xyz/llms.txt)
- [Other services from api.chainmarket-api.workers.dev](https://www.zero.xyz/host/api.chainmarket-api.workers.dev/llms.txt)