Form ADV Data API

Registration Form for Investment Advisers

All Form ADV data since May 2019
Updated quarterly
Up to 15,000 records per quarter

The Form ADV Data API endpoint provides developers with a simple interface to query and access data from Form ADV (Part 1) filing data. This endpoint allows you to search for filings by investment adviser, filing date, number of investment advisory / research employees, regulatory assets under management, or any other field in the Form ADV filing, and returns structured JSON data for easy integration into your application.

API Endpoint

https://api.fincoded.com/v1/form-adv

Supported HTTP methods: GET
Response content type: JSON

Use the API key on your user dashboard to authenticate your requests, using the key=[YOUR_API_KEY] query parameter:

https://api.fincoded.com/v1/form-adv?key=[YOUR_API_KEY]

Request Parameters

You can query the endpoint by any Form ADV property; see the Response Data Model below for a full list of available properties. You will need to consult the Form ADV PDF form (see References at bottom) for more information on what each property section/field number relates to.

Request Parameters
Standard query parameters, all optional. See the API introduction for more details.
  • property[operator]value: Filter the data based on various data model properties, operators (=, <=, >=, !=, <, >) and values.
  • page: The page number for the set of results you want to retrieve.
  • count: The number of results per page.
  • sortBy: The field you want to sort the results by, in full dotted JSON path syntax.
  • sortOrder: The order you want to sort the results, asc for ascending and desc for descending order.
  • subdocuments: When set to true, for endpoints that contain subdocuments for each result (eg informationTable holdings in 13F data), limit these subdocuments to those that match the subdocument filter conditions.
Request Examples

Return all Form ADV data by the investment adviser with SEC file number of 801-73669 (Coatue Management). No sort order is specified, so data is returned by filing date, most recent first.

https://api.fincoded.com/v1/form-adv?item1.1D.1=801-73669

Return all Form ADV data by investment advisers with total Regulatory Assets Under Management of $50 billion or more.

https://api.fincoded.com/v1/form-adv?item5.5F.2c>50000000000

Response Data Model

Response type: JSON

The data model for each returned item closely resembles the section names and field numbers in the original filing PDF, converted to JSON syntax. Additionally a sourceReference property contains metadata about the original filing, including the date and filing ID of the filing.

Property Type Enum Values Path
sourceReference object sourceReference
source string
formADV
sourceReference.source
filingId number sourceReference.filingId
formVersion string sourceReference.formVersion
date date sourceReference.date
properties object properties
adviserType string
ERA
RIA
properties.adviserType
filingTypes string[] properties.filingTypes
filingAmendmentFiscalYear number properties.filingAmendmentFiscalYear
signature object properties.signature
executionType string properties.signature.executionType
executionDate date properties.signature.executionDate
signatory string properties.signature.signatory
title string properties.signature.title
item1 object item1
1A string item1.1A
1B object item1.1B
1 string item1.1B.1
2 boolean item1.1B.2
1C object item1.1C
Legal boolean item1.1C.Legal
Business boolean item1.1C.Business
New string item1.1C.New
1D object item1.1D
1 string item1.1D.1
2 string item1.1D.2
3 string[] item1.1D.3
1E object item1.1E
1 string item1.1E.1
2 string[] item1.1E.2
1F object item1.1F
1 object item1.1F.1
Street1 string item1.1F.1.Street1
Street2 string item1.1F.1.Street2
City string item1.1F.1.City
State string item1.1F.1.State
Country string item1.1F.1.Country
Postal string item1.1F.1.Postal
Private boolean item1.1F.1.Private
2 object item1.1F.2
MonFri string item1.1F.2.MonFri
Other string item1.1F.2.Other
Hours string item1.1F.2.Hours
3 string item1.1F.3
4 string item1.1F.4
5 number item1.1F.5
1G object item1.1G
Street1 string item1.1G.Street1
Street2 string item1.1G.Street2
City string item1.1G.City
State string item1.1G.State
Country string item1.1G.Country
Postal string item1.1G.Postal
Private boolean item1.1G.Private
1I boolean item1.1I
1J object item1.1J
1 object item1.1J.1
Street1 string item1.1J.1.Street1
Street2 string item1.1J.1.Street2
City string item1.1J.1.City
State string item1.1J.1.State
Country string item1.1J.1.Country
Postal string item1.1J.1.Postal
Private boolean item1.1J.1.Private
Name string item1.1J.1.Name
Title string item1.1J.1.Title
Phone string item1.1J.1.Phone
Fax string item1.1J.1.Fax
Email string item1.1J.1.Email
2 object item1.1J.2
Name string item1.1J.2.Name
EIN string item1.1J.2.EIN
1K object item1.1K
Street1 string item1.1K.Street1
Street2 string item1.1K.Street2
City string item1.1K.City
State string item1.1K.State
Country string item1.1K.Country
Postal string item1.1K.Postal
Private boolean item1.1K.Private
Name string item1.1K.Name
Title string item1.1K.Title
Phone string item1.1K.Phone
Fax string item1.1K.Fax
Email string item1.1K.Email
1L boolean item1.1L
1M boolean item1.1M
1N boolean item1.1N
1O object item1.1O
Billion boolean item1.1O.Billion
Amount string item1.1O.Amount
1P string item1.1P
item2 object item2
2A object item2.2A
1 boolean item2.2A.1
2 boolean item2.2A.2
3 boolean item2.2A.3
4 boolean item2.2A.4
5 boolean item2.2A.5
6 boolean item2.2A.6
7 boolean item2.2A.7
8 boolean item2.2A.8
9 boolean item2.2A.9
10 boolean item2.2A.10
11 boolean item2.2A.11
12 boolean item2.2A.12
13 boolean item2.2A.13
2B object item2.2B
1 boolean item2.2B.1
2 boolean item2.2B.2
3 boolean item2.2B.3
AUM number item2.2B.AUM
2C string[] item2.2C
item3 object item3
3A string item3.3A
3B string item3.3B
3C object item3.3C
State string item3.3C.State
Country string item3.3C.Country
item4 object item4
4A boolean item4.4A
4B date item4.4B
item5 object item5
5A number item5.5A
5B object item5.5B
1 number item5.5B.1
2 number item5.5B.2
3 number item5.5B.3
4 number item5.5B.4
5 number item5.5B.5
6 number item5.5B.6
5C object item5.5C
1 number item5.5C.1
2 number item5.5C.2
5D object item5.5D
1a number item5.5D.1a
1b number item5.5D.1b
1c number item5.5D.1c
1d number item5.5D.1d
1e number item5.5D.1e
1f number item5.5D.1f
1g number item5.5D.1g
1h number item5.5D.1h
1i number item5.5D.1i
1j number item5.5D.1j
1k number item5.5D.1k
1l number item5.5D.1l
1m number item5.5D.1m
1n number item5.5D.1n
1nOther string item5.5D.1nOther
2a boolean item5.5D.2a
2b boolean item5.5D.2b
2c boolean item5.5D.2c
2g boolean item5.5D.2g
2h boolean item5.5D.2h
2i boolean item5.5D.2i
2j boolean item5.5D.2j
2k boolean item5.5D.2k
2l boolean item5.5D.2l
2m boolean item5.5D.2m
2n boolean item5.5D.2n
3a number item5.5D.3a
3b number item5.5D.3b
3c number item5.5D.3c
3d number item5.5D.3d
3e number item5.5D.3e
3f number item5.5D.3f
3g number item5.5D.3g
3h number item5.5D.3h
3i number item5.5D.3i
3j number item5.5D.3j
3k number item5.5D.3k
3l number item5.5D.3l
3m number item5.5D.3m
3n number item5.5D.3n
5E object item5.5E
1 boolean item5.5E.1
2 boolean item5.5E.2
3 boolean item5.5E.3
4 boolean item5.5E.4
5 boolean item5.5E.5
6 boolean item5.5E.6
7 boolean item5.5E.7
Other string item5.5E.Other
5F object item5.5F
1 boolean item5.5F.1
3 number item5.5F.3
2a number item5.5F.2a
2b number item5.5F.2b
2c number item5.5F.2c
2d number item5.5F.2d
2e number item5.5F.2e
2f number item5.5F.2f
5G object item5.5G
1 boolean item5.5G.1
2 boolean item5.5G.2
3 boolean item5.5G.3
4 boolean item5.5G.4
5 boolean item5.5G.5
6 boolean item5.5G.6
7 boolean item5.5G.7
8 boolean item5.5G.8
9 boolean item5.5G.9
10 boolean item5.5G.10
11 boolean item5.5G.11
12 boolean item5.5G.12
Other string item5.5G.Other
5H string item5.5H
5I object item5.5I
1 boolean item5.5I.1
2a number item5.5I.2a
2b number item5.5I.2b
2c number item5.5I.2c
5J object item5.5J
1 boolean item5.5J.1
2 boolean item5.5J.2
5K object item5.5K
1 boolean item5.5K.1
2 boolean item5.5K.2
3 boolean item5.5K.3
4 boolean item5.5K.4
5L object item5.5L
2 boolean item5.5L.2
3 boolean item5.5L.3
4 boolean item5.5L.4
1a boolean item5.5L.1a
1b boolean item5.5L.1b
1c boolean item5.5L.1c
1d boolean item5.5L.1d
1e boolean item5.5L.1e
item6 object item6
6A object item6.6A
1 boolean item6.6A.1
2 boolean item6.6A.2
3 boolean item6.6A.3
4 boolean item6.6A.4
5 boolean item6.6A.5
6 boolean item6.6A.6
7 boolean item6.6A.7
8 boolean item6.6A.8
9 boolean item6.6A.9
10 boolean item6.6A.10
11 boolean item6.6A.11
12 boolean item6.6A.12
13 boolean item6.6A.13
14 boolean item6.6A.14
Other string item6.6A.Other
6B object item6.6B
1 boolean item6.6B.1
2 boolean item6.6B.2
3 boolean item6.6B.3
item7 object item7
7A object item7.7A
1 boolean item7.7A.1
2 boolean item7.7A.2
3 boolean item7.7A.3
4 boolean item7.7A.4
5 boolean item7.7A.5
6 boolean item7.7A.6
7 boolean item7.7A.7
8 boolean item7.7A.8
9 boolean item7.7A.9
10 boolean item7.7A.10
11 boolean item7.7A.11
12 boolean item7.7A.12
13 boolean item7.7A.13
14 boolean item7.7A.14
15 boolean item7.7A.15
16 boolean item7.7A.16
7B boolean item7.7B
item8 object item8
8A object item8.8A
1 boolean item8.8A.1
2 boolean item8.8A.2
3 boolean item8.8A.3
8B object item8.8B
1 boolean item8.8B.1
2 boolean item8.8B.2
3 boolean item8.8B.3
8C object item8.8C
1 boolean item8.8C.1
2 boolean item8.8C.2
3 boolean item8.8C.3
4 boolean item8.8C.4
8D boolean item8.8D
8E boolean item8.8E
8F boolean item8.8F
8G object item8.8G
1 boolean item8.8G.1
2 boolean item8.8G.2
8H object item8.8H
1 boolean item8.8H.1
2 boolean item8.8H.2
8I boolean item8.8I
item9 object item9
9A object item9.9A
1a boolean item9.9A.1a
1b boolean item9.9A.1b
2a number item9.9A.2a
2b number item9.9A.2b
9B object item9.9B
1a boolean item9.9B.1a
1b boolean item9.9B.1b
2a number item9.9B.2a
2b number item9.9B.2b
9C object item9.9C
1 boolean item9.9C.1
2 boolean item9.9C.2
3 boolean item9.9C.3
4 boolean item9.9C.4
9D object item9.9D
1 boolean item9.9D.1
2 boolean item9.9D.2
9E date item9.9E
9F number item9.9F
item10 object item10
10A boolean item10.10A
item11 object item11
11 boolean item11.11
11A object item11.11A
1 boolean item11.11A.1
2 boolean item11.11A.2
11B object item11.11B
1 boolean item11.11B.1
2 boolean item11.11B.2
11C object item11.11C
1 boolean item11.11C.1
2 boolean item11.11C.2
3 boolean item11.11C.3
4 boolean item11.11C.4
5 boolean item11.11C.5
11D object item11.11D
1 boolean item11.11D.1
2 boolean item11.11D.2
3 boolean item11.11D.3
4 boolean item11.11D.4
5 boolean item11.11D.5
11E object item11.11E
1 boolean item11.11E.1
2 boolean item11.11E.2
3 boolean item11.11E.3
4 boolean item11.11E.4
11F boolean item11.11F
11G boolean item11.11G
11H object item11.11H
2 boolean item11.11H.2
1a boolean item11.11H.1a
1b boolean item11.11H.1b
1c boolean item11.11H.1c
item12 object item12
12A boolean item12.12A
12B object item12.12B
1 boolean item12.12B.1
2 boolean item12.12B.2
12C object item12.12C
1 boolean item12.12C.1
2 boolean item12.12C.2
scheduleAB object[] scheduleAB
Schedule string scheduleAB.Schedule
FullLegalName string scheduleAB.FullLegalName
EntityType string scheduleAB.EntityType
EntityInWhich string scheduleAB.EntityInWhich
TitleOrStatus string scheduleAB.TitleOrStatus
StatusAcquired string scheduleAB.StatusAcquired
OwnershipCode string scheduleAB.OwnershipCode
ControlPerson boolean scheduleAB.ControlPerson
PR boolean scheduleAB.PR
OwnerID string scheduleAB.OwnerID
scheduleD object scheduleD
4 object[] scheduleD.4
Name string scheduleD.4.Name
CRDNumber string scheduleD.4.CRDNumber
SECFileNumber string scheduleD.4.SECFileNumber
1B object[] scheduleD.1B
Name string scheduleD.1B.Name
Jurisdiction string[] scheduleD.1B.Jurisdiction
1F object[] scheduleD.1F
Street1 string scheduleD.1F.Street1
Street2 string scheduleD.1F.Street2
City string scheduleD.1F.City
State string scheduleD.1F.State
Country string scheduleD.1F.Country
Postal string scheduleD.1F.Postal
Private boolean scheduleD.1F.Private
Phone string scheduleD.1F.Phone
Fax string scheduleD.1F.Fax
BranchNumber string scheduleD.1F.BranchNumber
Employees number scheduleD.1F.Employees
BD boolean scheduleD.1F.BD
Bank boolean scheduleD.1F.Bank
Insurance boolean scheduleD.1F.Insurance
Commodity boolean scheduleD.1F.Commodity
Municipal boolean scheduleD.1F.Municipal
Accounting boolean scheduleD.1F.Accounting
Law boolean scheduleD.1F.Law
Other string scheduleD.1F.Other
1I string[] scheduleD.1I
1L object[] scheduleD.1L
Street1 string scheduleD.1L.Street1
Street2 string scheduleD.1L.Street2
City string scheduleD.1L.City
State string scheduleD.1L.State
Country string scheduleD.1L.Country
Postal string scheduleD.1L.Postal
Private boolean scheduleD.1L.Private
Name string scheduleD.1L.Name
Phone string scheduleD.1L.Phone
Fax string scheduleD.1L.Fax
Type string scheduleD.1L.Type
Description string scheduleD.1L.Description
1M string[] scheduleD.1M
2A8 object scheduleD.2A8
Name string scheduleD.2A8.Name
CRDNumber string scheduleD.2A8.CRDNumber
SECNumber string scheduleD.2A8.SECNumber
2A9 object scheduleD.2A9
Checkbox1 boolean scheduleD.2A9.Checkbox1
Checkbox2 boolean scheduleD.2A9.Checkbox2
2A10 object scheduleD.2A10
Checkbox1 boolean scheduleD.2A10.Checkbox1
Checkbox2 boolean scheduleD.2A10.Checkbox2
Checkbox3 boolean scheduleD.2A10.Checkbox3
2A12 object scheduleD.2A12
ApplicationNumber string scheduleD.2A12.ApplicationNumber
DateOfOrder date scheduleD.2A12.DateOfOrder
5G3 object[] scheduleD.5G3
SECFileNumber string scheduleD.5G3.SECFileNumber
SeriesID string scheduleD.5G3.SeriesID
RAUM number scheduleD.5G3.RAUM
5I2 object[] scheduleD.5I2
Name string scheduleD.5I2.Name
Sponsor string scheduleD.5I2.Sponsor
SECFileNumber string scheduleD.5I2.SECFileNumber
CRDNumber string scheduleD.5I2.CRDNumber
5K1 object scheduleD.5K1
a object scheduleD.5K1.a
iMID number scheduleD.5K1.a.iMID
iEOY number scheduleD.5K1.a.iEOY
iiMID number scheduleD.5K1.a.iiMID
iiEOY number scheduleD.5K1.a.iiEOY
iiiMID number scheduleD.5K1.a.iiiMID
iiiEOY number scheduleD.5K1.a.iiiEOY
ivMID number scheduleD.5K1.a.ivMID
ivEOY number scheduleD.5K1.a.ivEOY
vMID number scheduleD.5K1.a.vMID
vEOY number scheduleD.5K1.a.vEOY
viMID number scheduleD.5K1.a.viMID
viEOY number scheduleD.5K1.a.viEOY
viiMID number scheduleD.5K1.a.viiMID
viiEOY number scheduleD.5K1.a.viiEOY
viiiMID number scheduleD.5K1.a.viiiMID
viiiEOY number scheduleD.5K1.a.viiiEOY
ixMID number scheduleD.5K1.a.ixMID
ixEOY number scheduleD.5K1.a.ixEOY
xMID number scheduleD.5K1.a.xMID
xEOY number scheduleD.5K1.a.xEOY
xiMID number scheduleD.5K1.a.xiMID
xiEOY number scheduleD.5K1.a.xiEOY
xiiMID number scheduleD.5K1.a.xiiMID
xiiEOY number scheduleD.5K1.a.xiiEOY
xiiDescription string scheduleD.5K1.a.xiiDescription
b object scheduleD.5K1.b
i number scheduleD.5K1.b.i
ii number scheduleD.5K1.b.ii
iii number scheduleD.5K1.b.iii
iv number scheduleD.5K1.b.iv
v number scheduleD.5K1.b.v
vi number scheduleD.5K1.b.vi
vii number scheduleD.5K1.b.vii
viii number scheduleD.5K1.b.viii
ix number scheduleD.5K1.b.ix
x number scheduleD.5K1.b.x
xi number scheduleD.5K1.b.xi
xii number scheduleD.5K1.b.xii
xiiDescription string scheduleD.5K1.b.xiiDescription
5K2 object scheduleD.5K2
a object scheduleD.5K2.a
i object scheduleD.5K2.a.i
LessThan10 object scheduleD.5K2.a.i.LessThan10
1 number scheduleD.5K2.a.i.LessThan10.1
2 number scheduleD.5K2.a.i.LessThan10.2
3a number scheduleD.5K2.a.i.LessThan10.3a
3b number scheduleD.5K2.a.i.LessThan10.3b
3c number scheduleD.5K2.a.i.LessThan10.3c
3d number scheduleD.5K2.a.i.LessThan10.3d
3e number scheduleD.5K2.a.i.LessThan10.3e
3f number scheduleD.5K2.a.i.LessThan10.3f
From10To149 object scheduleD.5K2.a.i.From10To149
1 number scheduleD.5K2.a.i.From10To149.1
2 number scheduleD.5K2.a.i.From10To149.2
3a number scheduleD.5K2.a.i.From10To149.3a
3b number scheduleD.5K2.a.i.From10To149.3b
3c number scheduleD.5K2.a.i.From10To149.3c
3d number scheduleD.5K2.a.i.From10To149.3d
3e number scheduleD.5K2.a.i.From10To149.3e
3f number scheduleD.5K2.a.i.From10To149.3f
MoreThan150 object scheduleD.5K2.a.i.MoreThan150
1 number scheduleD.5K2.a.i.MoreThan150.1
2 number scheduleD.5K2.a.i.MoreThan150.2
3a number scheduleD.5K2.a.i.MoreThan150.3a
3b number scheduleD.5K2.a.i.MoreThan150.3b
3c number scheduleD.5K2.a.i.MoreThan150.3c
3d number scheduleD.5K2.a.i.MoreThan150.3d
3e number scheduleD.5K2.a.i.MoreThan150.3e
3f number scheduleD.5K2.a.i.MoreThan150.3f
Description string scheduleD.5K2.a.i.Description
ii object scheduleD.5K2.a.ii
LessThan10 object scheduleD.5K2.a.ii.LessThan10
1 number scheduleD.5K2.a.ii.LessThan10.1
2 number scheduleD.5K2.a.ii.LessThan10.2
3a number scheduleD.5K2.a.ii.LessThan10.3a
3b number scheduleD.5K2.a.ii.LessThan10.3b
3c number scheduleD.5K2.a.ii.LessThan10.3c
3d number scheduleD.5K2.a.ii.LessThan10.3d
3e number scheduleD.5K2.a.ii.LessThan10.3e
3f number scheduleD.5K2.a.ii.LessThan10.3f
From10To149 object scheduleD.5K2.a.ii.From10To149
1 number scheduleD.5K2.a.ii.From10To149.1
2 number scheduleD.5K2.a.ii.From10To149.2
3a number scheduleD.5K2.a.ii.From10To149.3a
3b number scheduleD.5K2.a.ii.From10To149.3b
3c number scheduleD.5K2.a.ii.From10To149.3c
3d number scheduleD.5K2.a.ii.From10To149.3d
3e number scheduleD.5K2.a.ii.From10To149.3e
3f number scheduleD.5K2.a.ii.From10To149.3f
MoreThan150 object scheduleD.5K2.a.ii.MoreThan150
1 number scheduleD.5K2.a.ii.MoreThan150.1
2 number scheduleD.5K2.a.ii.MoreThan150.2
3a number scheduleD.5K2.a.ii.MoreThan150.3a
3b number scheduleD.5K2.a.ii.MoreThan150.3b
3c number scheduleD.5K2.a.ii.MoreThan150.3c
3d number scheduleD.5K2.a.ii.MoreThan150.3d
3e number scheduleD.5K2.a.ii.MoreThan150.3e
3f number scheduleD.5K2.a.ii.MoreThan150.3f
Description string scheduleD.5K2.a.ii.Description
b object scheduleD.5K2.b
LessThan10 object scheduleD.5K2.b.LessThan10
1 number scheduleD.5K2.b.LessThan10.1
2 number scheduleD.5K2.b.LessThan10.2
From10To149 object scheduleD.5K2.b.From10To149
1 number scheduleD.5K2.b.From10To149.1
2 number scheduleD.5K2.b.From10To149.2
MoreThan150 object scheduleD.5K2.b.MoreThan150
1 number scheduleD.5K2.b.MoreThan150.1
2 number scheduleD.5K2.b.MoreThan150.2
Description string scheduleD.5K2.b.Description
5K3 object[] scheduleD.5K3
a string scheduleD.5K3.a
b string scheduleD.5K3.b
c object scheduleD.5K3.c
State string scheduleD.5K3.c.State
Country string scheduleD.5K3.c.Country
City string scheduleD.5K3.c.City
d boolean scheduleD.5K3.d
e string scheduleD.5K3.e
f string scheduleD.5K3.f
g number scheduleD.5K3.g
6A object[] scheduleD.6A
Name string scheduleD.6A.Name
BD boolean scheduleD.6A.BD
RR boolean scheduleD.6A.RR
Pool boolean scheduleD.6A.Pool
FCM boolean scheduleD.6A.FCM
RealEstate boolean scheduleD.6A.RealEstate
Insurance boolean scheduleD.6A.Insurance
Bank boolean scheduleD.6A.Bank
Trust boolean scheduleD.6A.Trust
Municipal boolean scheduleD.6A.Municipal
SwapDealer boolean scheduleD.6A.SwapDealer
SwapParticipant boolean scheduleD.6A.SwapParticipant
Accountant boolean scheduleD.6A.Accountant
Lawyer boolean scheduleD.6A.Lawyer
Other boolean scheduleD.6A.Other
Description string scheduleD.6A.Description
6B2 object scheduleD.6B2
Description string scheduleD.6B2.Description
BusinessName string scheduleD.6B2.BusinessName
6B3 object scheduleD.6B3
Description string scheduleD.6B3.Description
BusinessName string scheduleD.6B3.BusinessName
7A object[] scheduleD.7A
1 string scheduleD.7A.1
2 string scheduleD.7A.2
3 string scheduleD.7A.3
6 boolean scheduleD.7A.6
7 boolean scheduleD.7A.7
11 boolean scheduleD.7A.11
12 boolean scheduleD.7A.12
4a string scheduleD.7A.4a
4b string[] scheduleD.7A.4b
5a boolean scheduleD.7A.5a
5b boolean scheduleD.7A.5b
5c boolean scheduleD.7A.5c
5d boolean scheduleD.7A.5d
5e boolean scheduleD.7A.5e
5f boolean scheduleD.7A.5f
5g boolean scheduleD.7A.5g
5h boolean scheduleD.7A.5h
5i boolean scheduleD.7A.5i
5j boolean scheduleD.7A.5j
5k boolean scheduleD.7A.5k
5l boolean scheduleD.7A.5l
5m boolean scheduleD.7A.5m
5n boolean scheduleD.7A.5n
5o boolean scheduleD.7A.5o
5p boolean scheduleD.7A.5p
8a boolean scheduleD.7A.8a
8b boolean scheduleD.7A.8b
8c object scheduleD.7A.8c
Street1 string scheduleD.7A.8c.Street1
Street2 string scheduleD.7A.8c.Street2
City string scheduleD.7A.8c.City
State string scheduleD.7A.8c.State
Country string scheduleD.7A.8c.Country
Postal string scheduleD.7A.8c.Postal
Private boolean scheduleD.7A.8c.Private
9a boolean scheduleD.7A.9a
9b string scheduleD.7A.9b
10a boolean scheduleD.7A.10a
10B string[] scheduleD.7A.10B
7B1 object[] scheduleD.7B1
A1a string scheduleD.7B1.A1a
A1b string scheduleD.7B1.A1b
A2 object scheduleD.7B1.A2
State string scheduleD.7B1.A2.State
Country string scheduleD.7B1.A2.Country
A3a string[] scheduleD.7B1.A3a
A3b string[] scheduleD.7B1.A3b
A4 object scheduleD.7B1.A4
1 boolean scheduleD.7B1.A4.1
2 boolean scheduleD.7B1.A4.2
A5 string[] scheduleD.7B1.A5
A6a boolean scheduleD.7B1.A6a
A6b object[] scheduleD.7B1.A6b
Name string scheduleD.7B1.A6b.Name
FundID string scheduleD.7B1.A6b.FundID
A6c boolean scheduleD.7B1.A6c
A6d object scheduleD.7B1.A6d
Name string scheduleD.7B1.A6d.Name
FundID string scheduleD.7B1.A6d.FundID
A7 object[] scheduleD.7B1.A7
a string scheduleD.7B1.A7.a
b string scheduleD.7B1.A7.b
c object scheduleD.7B1.A7.c
State string scheduleD.7B1.A7.c.State
Country string scheduleD.7B1.A7.c.Country
d object scheduleD.7B1.A7.d
1 string[] scheduleD.7B1.A7.d.1
2 string[] scheduleD.7B1.A7.d.2
e object scheduleD.7B1.A7.e
1 boolean scheduleD.7B1.A7.e.1
2 boolean scheduleD.7B1.A7.e.2
f string[] scheduleD.7B1.A7.f
A8a boolean scheduleD.7B1.A8a
A8b boolean scheduleD.7B1.A8b
A9 boolean scheduleD.7B1.A9
A10 string scheduleD.7B1.A10
A11 number scheduleD.7B1.A11
A12 number scheduleD.7B1.A12
A13 number scheduleD.7B1.A13
A14 number scheduleD.7B1.A14
A15a number scheduleD.7B1.A15a
A15b boolean scheduleD.7B1.A15b
A16 number scheduleD.7B1.A16
A17a boolean scheduleD.7B1.A17a
A17b object[] scheduleD.7B1.A17b
Name string scheduleD.7B1.A17b.Name
SECFileNumber string scheduleD.7B1.A17b.SECFileNumber
CRDNumber string scheduleD.7B1.A17b.CRDNumber
A18a boolean scheduleD.7B1.A18a
A18b object[] scheduleD.7B1.A18b
Name string scheduleD.7B1.A18b.Name
SECFileNumber string scheduleD.7B1.A18b.SECFileNumber
CRDNumber string scheduleD.7B1.A18b.CRDNumber
A19 boolean scheduleD.7B1.A19
A20 number scheduleD.7B1.A20
A21 boolean scheduleD.7B1.A21
A22 string[] scheduleD.7B1.A22
A23 object scheduleD.7B1.A23
a1 boolean scheduleD.7B1.A23.a1
a2 boolean scheduleD.7B1.A23.a2
list object[] scheduleD.7B1.A23.list
b string scheduleD.7B1.A23.list.b
c object scheduleD.7B1.A23.list.c
State string scheduleD.7B1.A23.list.c.State
Country string scheduleD.7B1.A23.list.c.Country
City string scheduleD.7B1.A23.list.c.City
d boolean scheduleD.7B1.A23.list.d
e boolean scheduleD.7B1.A23.list.e
eNumber string scheduleD.7B1.A23.list.eNumber
f boolean scheduleD.7B1.A23.list.f
g boolean scheduleD.7B1.A23.g
h string scheduleD.7B1.A23.h
A24 object scheduleD.7B1.A24
a boolean scheduleD.7B1.A24.a
list object[] scheduleD.7B1.A24.list
b string scheduleD.7B1.A24.list.b
c object scheduleD.7B1.A24.list.c
CRDNumber string scheduleD.7B1.A24.list.c.CRDNumber
SECNumber string scheduleD.7B1.A24.list.c.SECNumber
d object scheduleD.7B1.A24.list.d
State string scheduleD.7B1.A24.list.d.State
Country string scheduleD.7B1.A24.list.d.Country
City string scheduleD.7B1.A24.list.d.City
e boolean scheduleD.7B1.A24.list.e
A25 object scheduleD.7B1.A25
a boolean scheduleD.7B1.A25.a
list object[] scheduleD.7B1.A25.list
b string scheduleD.7B1.A25.list.b
c string scheduleD.7B1.A25.list.c
d object scheduleD.7B1.A25.list.d
State string scheduleD.7B1.A25.list.d.State
Country string scheduleD.7B1.A25.list.d.Country
City string scheduleD.7B1.A25.list.d.City
e boolean scheduleD.7B1.A25.list.e
f string scheduleD.7B1.A25.list.f
g string scheduleD.7B1.A25.list.g
A26 object scheduleD.7B1.A26
a boolean scheduleD.7B1.A26.a
list object[] scheduleD.7B1.A26.list
b string scheduleD.7B1.A26.list.b
c object scheduleD.7B1.A26.list.c
State string scheduleD.7B1.A26.list.c.State
Country string scheduleD.7B1.A26.list.c.Country
City string scheduleD.7B1.A26.list.c.City
d boolean scheduleD.7B1.A26.list.d
e string
No
Some
Yes
scheduleD.7B1.A26.list.e
f string scheduleD.7B1.A26.list.f
A27 number scheduleD.7B1.A27
A28 object scheduleD.7B1.A28
a boolean scheduleD.7B1.A28.a
list object[] scheduleD.7B1.A28.list
b boolean scheduleD.7B1.A28.list.b
c string scheduleD.7B1.A28.list.c
d object scheduleD.7B1.A28.list.d
CRDNumber string scheduleD.7B1.A28.list.d.CRDNumber
SECNumber string scheduleD.7B1.A28.list.d.SECNumber
e object scheduleD.7B1.A28.list.e
State string scheduleD.7B1.A28.list.e.State
Country string scheduleD.7B1.A28.list.e.Country
City string scheduleD.7B1.A28.list.e.City
f boolean scheduleD.7B1.A28.list.f
g string[] scheduleD.7B1.A28.list.g
7B2 object[] scheduleD.7B2
1 string scheduleD.7B2.1
2 string scheduleD.7B2.2
3 object scheduleD.7B2.3
Name string scheduleD.7B2.3.Name
SECNumber string scheduleD.7B2.3.SECNumber
4 boolean scheduleD.7B2.4
9C object[] scheduleD.9C
1 string scheduleD.9C.1
2 object scheduleD.9C.2
Street1 string scheduleD.9C.2.Street1
Street2 string scheduleD.9C.2.Street2
City string scheduleD.9C.2.City
State string scheduleD.9C.2.State
Country string scheduleD.9C.2.Country
Postal string scheduleD.9C.2.Postal
Private boolean scheduleD.9C.2.Private
3 boolean scheduleD.9C.3
4 boolean scheduleD.9C.4
6 string scheduleD.9C.6
3Number string scheduleD.9C.3Number
5A boolean scheduleD.9C.5A
5B boolean scheduleD.9C.5B
5C boolean scheduleD.9C.5C
10A object[] scheduleD.10A
1 string scheduleD.10A.1
2 object scheduleD.10A.2
CRDNumber string scheduleD.10A.2.CRDNumber
EffectiveDate date scheduleD.10A.2.EffectiveDate
TerminationDate date scheduleD.10A.2.TerminationDate
3 object scheduleD.10A.3
Street1 string scheduleD.10A.3.Street1
Street2 string scheduleD.10A.3.Street2
City string scheduleD.10A.3.City
State string scheduleD.10A.3.State
Country string scheduleD.10A.3.Country
Postal string scheduleD.10A.3.Postal
Private boolean scheduleD.10A.3.Private
4 string scheduleD.10A.4
7 string scheduleD.10A.7
10B object[] scheduleD.10B
1 string scheduleD.10B.1
2 string scheduleD.10B.2
Miscellaneous string scheduleD.Miscellaneous
scheduleR object[] scheduleR
1A string scheduleR.1A
1B string scheduleR.1B
1C object[] scheduleR.1C
Name string scheduleR.1C.Name
Jurisdiction string[] scheduleR.1C.Jurisdiction
1D string scheduleR.1D
1E object scheduleR.1E
1 object scheduleR.1E.1
Street1 string scheduleR.1E.1.Street1
Street2 string scheduleR.1E.1.Street2
City string scheduleR.1E.1.City
State string scheduleR.1E.1.State
Country string scheduleR.1E.1.Country
Postal string scheduleR.1E.1.Postal
Private boolean scheduleR.1E.1.Private
2 object scheduleR.1E.2
MonFri string scheduleR.1E.2.MonFri
Other string scheduleR.1E.2.Other
Hours string scheduleR.1E.2.Hours
3 string scheduleR.1E.3
4 string scheduleR.1E.4
SameAsFiler boolean scheduleR.1E.SameAsFiler
1F object scheduleR.1F
Street1 string scheduleR.1F.Street1
Street2 string scheduleR.1F.Street2
City string scheduleR.1F.City
State string scheduleR.1F.State
Country string scheduleR.1F.Country
Postal string scheduleR.1F.Postal
Private boolean scheduleR.1F.Private
SameAsFiler boolean scheduleR.1F.SameAsFiler
1G string scheduleR.1G
1H string[] scheduleR.1H
2A object scheduleR.2A
1 boolean scheduleR.2A.1
2 boolean scheduleR.2A.2
4 boolean scheduleR.2A.4
5 boolean scheduleR.2A.5
6 boolean scheduleR.2A.6
7 boolean scheduleR.2A.7
8 boolean scheduleR.2A.8
9 boolean scheduleR.2A.9
ApplicationNumber string scheduleR.2A.ApplicationNumber
OrderDate date scheduleR.2A.OrderDate
3A string scheduleR.3A
3B string scheduleR.3B
3C object scheduleR.3C
State string scheduleR.3C.State
Country string scheduleR.3C.Country
4AB object[] scheduleR.4AB
Schedule string scheduleR.4AB.Schedule
FullLegalName string scheduleR.4AB.FullLegalName
EntityType string scheduleR.4AB.EntityType
EntityInWhich string scheduleR.4AB.EntityInWhich
TitleOrStatus string scheduleR.4AB.TitleOrStatus
StatusAcquired string scheduleR.4AB.StatusAcquired
OwnershipCode string scheduleR.4AB.OwnershipCode
ControlPerson boolean scheduleR.4AB.ControlPerson
PR boolean scheduleR.4AB.PR
OwnerID string scheduleR.4AB.OwnerID
4C object[] scheduleR.4C
1 string scheduleR.4C.1
2 object scheduleR.4C.2
CRDNumber string scheduleR.4C.2.CRDNumber
EffectiveDate date scheduleR.4C.2.EffectiveDate
TerminationDate date scheduleR.4C.2.TerminationDate
3 object scheduleR.4C.3
Street1 string scheduleR.4C.3.Street1
Street2 string scheduleR.4C.3.Street2
City string scheduleR.4C.3.City
State string scheduleR.4C.3.State
Country string scheduleR.4C.3.Country
Postal string scheduleR.4C.3.Postal
Private boolean scheduleR.4C.3.Private
4 string scheduleR.4C.4
7 string scheduleR.4C.7
4D object[] scheduleR.4D
Name string scheduleR.4D.Name
CIK string scheduleR.4D.CIK
drp object drp
Criminal object[] drp.Criminal
InitialAmended string drp.Criminal.InitialAmended
FiledAgainst string drp.Criminal.FiledAgainst
Affiliate object[] drp.Criminal.Affiliate
CRDNumber string drp.Criminal.Affiliate.CRDNumber
Type string drp.Criminal.Affiliate.Type
Registered boolean drp.Criminal.Affiliate.Registered
Name string drp.Criminal.Affiliate.Name
Removal object drp.Criminal.Removal
Association boolean drp.Criminal.Removal.Association
Expired boolean drp.Criminal.Removal.Expired
FiledInError boolean drp.Criminal.Removal.FiledInError
Explantion string drp.Criminal.Removal.Explantion
AffiliateSubmitted boolean drp.Criminal.AffiliateSubmitted
11A1 boolean drp.Criminal.11A1
11A2 boolean drp.Criminal.11A2
11B1 boolean drp.Criminal.11B1
11B2 boolean drp.Criminal.11B2
Organization string drp.Criminal.Organization
Court string drp.Criminal.Court
FirstChargedDate object drp.Criminal.FirstChargedDate
Date date drp.Criminal.FirstChargedDate.Date
IsExact boolean drp.Criminal.FirstChargedDate.IsExact
Explanation string drp.Criminal.FirstChargedDate.Explanation
EventDetail string drp.Criminal.EventDetail
Felony boolean drp.Criminal.Felony
Status string drp.Criminal.Status
StatusDate object drp.Criminal.StatusDate
Date date drp.Criminal.StatusDate.Date
IsExact boolean drp.Criminal.StatusDate.IsExact
Explanation string drp.Criminal.StatusDate.Explanation
Disposition string drp.Criminal.Disposition
Summary string drp.Criminal.Summary
Regulatory object[] drp.Regulatory
InitialAmended string drp.Regulatory.InitialAmended
FiledAgainst string drp.Regulatory.FiledAgainst
Affiliate object[] drp.Regulatory.Affiliate
CRDNumber string drp.Regulatory.Affiliate.CRDNumber
Type string drp.Regulatory.Affiliate.Type
Registered boolean drp.Regulatory.Affiliate.Registered
Name string drp.Regulatory.Affiliate.Name
Removal object drp.Regulatory.Removal
Association boolean drp.Regulatory.Removal.Association
Expired boolean drp.Regulatory.Removal.Expired
FiledInError boolean drp.Regulatory.Removal.FiledInError
Explantion string drp.Regulatory.Removal.Explantion
AffiliateSubmitted boolean drp.Regulatory.AffiliateSubmitted
11C1 boolean drp.Regulatory.11C1
11C2 boolean drp.Regulatory.11C2
11C3 boolean drp.Regulatory.11C3
11C4 boolean drp.Regulatory.11C4
11C5 boolean drp.Regulatory.11C5
11D1 boolean drp.Regulatory.11D1
11D2 boolean drp.Regulatory.11D2
11D3 boolean drp.Regulatory.11D3
11D4 boolean drp.Regulatory.11D4
11D5 boolean drp.Regulatory.11D5
11E1 boolean drp.Regulatory.11E1
11E2 boolean drp.Regulatory.11E2
11E3 boolean drp.Regulatory.11E3
11E4 boolean drp.Regulatory.11E4
11F boolean drp.Regulatory.11F
11G boolean drp.Regulatory.11G
InitiatorType string drp.Regulatory.InitiatorType
InitiatedBy string drp.Regulatory.InitiatedBy
PrincipalSanction string drp.Regulatory.PrincipalSanction
OtherSanctions string drp.Regulatory.OtherSanctions
DateInitiated object drp.Regulatory.DateInitiated
Date date drp.Regulatory.DateInitiated.Date
IsExact boolean drp.Regulatory.DateInitiated.IsExact
Explanation string drp.Regulatory.DateInitiated.Explanation
CaseNumber string drp.Regulatory.CaseNumber
EmployingFirm string drp.Regulatory.EmployingFirm
PrincipalProduct string drp.Regulatory.PrincipalProduct
OtherProduct string drp.Regulatory.OtherProduct
Allegations string drp.Regulatory.Allegations
Status string drp.Regulatory.Status
AppealDetails string drp.Regulatory.AppealDetails
Resolution object drp.Regulatory.Resolution
Type string drp.Regulatory.Resolution.Type
ResolutionDate object drp.Regulatory.Resolution.ResolutionDate
Date date drp.Regulatory.Resolution.ResolutionDate.Date
IsExact boolean drp.Regulatory.Resolution.ResolutionDate.IsExact
Explanation string drp.Regulatory.Resolution.ResolutionDate.Explanation
MonetarySanction boolean drp.Regulatory.Resolution.MonetarySanction
MonetaryAmount number drp.Regulatory.Resolution.MonetaryAmount
Revocation boolean drp.Regulatory.Resolution.Revocation
Disgorgement boolean drp.Regulatory.Resolution.Disgorgement
Censure boolean drp.Regulatory.Resolution.Censure
CeaseAndDesist boolean drp.Regulatory.Resolution.CeaseAndDesist
Bar boolean drp.Regulatory.Resolution.Bar
Suspension boolean drp.Regulatory.Resolution.Suspension
OtherSanctionsOrdered string drp.Regulatory.Resolution.OtherSanctionsOrdered
SanctionDetail string drp.Regulatory.Resolution.SanctionDetail
Summary string drp.Regulatory.Summary
Civil object[] drp.Civil
InitialAmended string drp.Civil.InitialAmended
FiledAgainst string drp.Civil.FiledAgainst
Affiliate object[] drp.Civil.Affiliate
CRDNumber string drp.Civil.Affiliate.CRDNumber
Type string drp.Civil.Affiliate.Type
Registered boolean drp.Civil.Affiliate.Registered
Name string drp.Civil.Affiliate.Name
Removal object drp.Civil.Removal
Association boolean drp.Civil.Removal.Association
Expired boolean drp.Civil.Removal.Expired
FiledInError boolean drp.Civil.Removal.FiledInError
Explantion string drp.Civil.Removal.Explantion
AffiliateSubmitted boolean drp.Civil.AffiliateSubmitted
11H1a boolean drp.Civil.11H1a
11H1b boolean drp.Civil.11H1b
11H1c boolean drp.Civil.11H1c
11H2 boolean drp.Civil.11H2
InitiatedBy string drp.Civil.InitiatedBy
ReliefSought string drp.Civil.ReliefSought
OtherRelief string drp.Civil.OtherRelief
FilingDate object drp.Civil.FilingDate
Date date drp.Civil.FilingDate.Date
IsExact boolean drp.Civil.FilingDate.IsExact
Explanation string drp.Civil.FilingDate.Explanation
PrincipalProduct string drp.Civil.PrincipalProduct
OtherProduct string drp.Civil.OtherProduct
Court string drp.Civil.Court
EmployingFirm string drp.Civil.EmployingFirm
Allegations string drp.Civil.Allegations
Status string drp.Civil.Status
AppealDetails string drp.Civil.AppealDetails
DateServed object drp.Civil.DateServed
Date date drp.Civil.DateServed.Date
IsExact boolean drp.Civil.DateServed.IsExact
Explanation string drp.Civil.DateServed.Explanation
Resolution object drp.Civil.Resolution
Type string drp.Civil.Resolution.Type
ResolutionDate object drp.Civil.Resolution.ResolutionDate
Date date drp.Civil.Resolution.ResolutionDate.Date
IsExact boolean drp.Civil.Resolution.ResolutionDate.IsExact
Explanation string drp.Civil.Resolution.ResolutionDate.Explanation
MonetarySanction boolean drp.Civil.Resolution.MonetarySanction
MonetaryAmount number drp.Civil.Resolution.MonetaryAmount
Revocation boolean drp.Civil.Resolution.Revocation
Disgorgement boolean drp.Civil.Resolution.Disgorgement
Censure boolean drp.Civil.Resolution.Censure
CeaseAndDesist boolean drp.Civil.Resolution.CeaseAndDesist
Bar boolean drp.Civil.Resolution.Bar
Suspension boolean drp.Civil.Resolution.Suspension
OtherSanctionsOrdered string drp.Civil.Resolution.OtherSanctionsOrdered
SanctionDetail string drp.Civil.Resolution.SanctionDetail
Summary string drp.Civil.Summary

Response Example

{
  "data": [
    {
      "sourceReference": {
        "source": "formADV",
        "filingId": 1768986,
        "formVersion": "10/2021",
        "date": "2023-06-30T04:00:00.000Z"
      },
      "drp": {
        "Criminal": [],
        "Regulatory": [],
        "Civil": []
      },
      "item1": {
        "1A": "BLUE WATER ENERGY LLP",
        "1B": {
          "1": "BLUE WATER ENERGY LLP",
          "2": false
        },
        "1C": {
          "Legal": false,
          "Business": false
        },
        "1D": {
          "1": "802-112468",
          "2": "802-112468",
          "3": []
        },
        "1E": {
          "1": "291382",
          "2": []
        },
        "1F": {
          "1": {
            "Street1": "17 CONNAUGHT PLACE",
            "Street2": "",
            "City": "LONDON",
            "State": "",
            "Country": "United Kingdom",
            "Postal": "",
            "Private": false
          },
          "2": {
            "MonFri": "Monday - Friday",
            "Other": "",
            "Hours": "8:30 AM TO 5:30 PM"
          },
          "3": "44 0 20 7290 5090",
          "4": "44 0 20 7493 4149",
          "5": 0
        },
        "1G": {
          "Street1": "",
          "Street2": "",
          "City": "",
          "State": "",
          "Country": "",
          "Postal": "",
          "Private": false
        },
        "1I": true,
        "1J": {
          "1": {
            "Street1": "17 CONNAUGHT PLACE",
            "Street2": "",
            "City": "LONDON",
            "State": "",
            "Country": "United Kingdom",
            "Postal": "",
            "Private": false,
            "Name": "LOUISE A PILGRIM",
            "Title": "",
            "Phone": "44 0 20 7290 5090",
            "Fax": "",
            "Email": "LPILGRIM@BLUEWATERPE.COM"
          },
          "2": {
            "Name": "",
            "EIN": ""
          }
        },
        "1K": {
          "Street1": "",
          "Street2": "",
          "City": "",
          "State": "",
          "Country": "",
          "Postal": "",
          "Private": false,
          "Name": "",
          "Title": "",
          "Phone": "",
          "Fax": "",
          "Email": ""
        },
        "1L": true,
        "1M": true,
        "1N": false,
        "1O": {
          "Billion": false
        }
      },
      "item10": {
        "10A": false
      },
      "item11": {
        "11": false,
        "11A": {
          "1": false,
          "2": false
        },
        "11B": {
          "1": false,
          "2": false
        },
        "11C": {
          "1": false,
          "2": false,
          "3": false,
          "4": false,
          "5": false
        },
        "11D": {
          "1": false,
          "2": false,
          "3": false,
          "4": false,
          "5": false
        },
        "11E": {
          "1": false,
          "2": false,
          "3": false,
          "4": false
        },
        "11F": false,
        "11G": false,
        "11H": {
          "2": false,
          "1a": false,
          "1b": false,
          "1c": false
        }
      },
      "item12": {
        "12A": false,
        "12B": {
          "1": false,
          "2": false
        },
        "12C": {
          "1": false,
          "2": false
        }
      },
      "item2": {
        "2A": {
          "1": false,
          "2": false,
          "3": false,
          "4": false,
          "5": false,
          "6": false,
          "7": false,
          "8": false,
          "9": false,
          "10": false,
          "11": false,
          "12": false,
          "13": false
        },
        "2B": {
          "1": false,
          "2": true,
          "3": false,
          "AUM": 0
        },
        "2C": []
      },
      "item3": {
        "3A": "Limited Liability Partnership",
        "3B": "MARCH",
        "3C": {
          "State": "",
          "Country": "United Kingdom"
        }
      },
      "item4": {
        "4A": false
      },
      "item5": {
        "5A": 0,
        "5B": {
          "1": 0,
          "2": 0,
          "3": 0,
          "4": 0,
          "5": 0,
          "6": 0
        },
        "5C": {
          "1": 0,
          "2": 0
        },
        "5D": {
          "1a": 0,
          "1b": 0,
          "1c": 0,
          "1d": 0,
          "1e": 0,
          "1f": 0,
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