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Search both firm and individual registers.","exampleUseCases":[{"title":"Vetting a financial adviser before investing","prompt":"I'm considering working with a financial adviser named John Meriwether at Apex Capital Advisors — can you check if he's SEC-registered as an individual and whether there are any disclosures against him?"},{"title":"Due diligence on an RIA firm","prompt":"Before we partner with Meridian Wealth Management, can you verify they're actively SEC-registered as a firm and flag if they have any disclosures on record?"},{"title":"Confirming adviser credentials by CRD number","prompt":"I have a CRD number 123456 — can you look up that investment adviser and tell me their registration status and whether any disclosures exist?"}],"resultDescription":"Returns a structured response with matched firms and/or individuals including their name, CRD number, SEC number, registration status, address, branch count, other known names, and a boolean indicating whether disclosures exist. Also includes aggregate counts (total matches, active, with disclosures), the data source, a plain-language verdict, a disclaimer, and a timestamp of when data was retrieved.","failureModes":["No match found for the given name or CRD number — returns empty arrays with zero counts","Ambiguous name returns multiple results — agent should use CRD number for precision","SEC IAPD data unavailable or timeout — upstream dependency failure","Invalid query parameters (missing required 'name' field) — returns validation error","Name misspelling leads to false negatives — spelling variants may not surface the correct record"],"whenToPreferThis":"Use this endpoint when you need to verify the SEC registration status of an investment adviser — whether a firm or an individual — and check for any regulatory disclosures. It is ideal for due diligence workflows, compliance screening, or helping a user vet a financial professional before engaging their services. Prefer this over general web search when you need structured, authoritative data from SEC IAPD with a clear verdict and disclosure flag.","instructions":null,"reviewSummary":null,"reviewSummaryHighlights":null,"reviewSummaryConcerns":null,"reviewSummaryGeneratedAt":null,"activationCount":0,"lastUsedAt":null,"lastSuccessfullyRanAt":null,"lastHealthCheckAt":"2026-09-14T12:55:43.391Z","isFirstParty":false}