AUMSearch for developers
Query adviser, private-fund, Form D, and Form 13F records through the API or receive scheduled files in your environment. Both preserve identifiers, dates, and source context.
/v1/managers?query=ICONIQ&limit=2{
"data": [{
"id": "source-package-uuid:source-row",
"display_name": "ICONIQ Capital, LLC",
"provenance": {
"source": "IAPD_ADV",
"source_url": "https://adviserinfo.sec.gov/..."
}
}],
"meta": { "request_id": "req_...", "has_more": true, "next_cursor": "..." },
"links": { "self": "...", "next": "..." }
}Choose by workload
The interfaces share the same source-first model, but they solve different operational problems. Start with the way your system needs to consume and refresh the data.
REST API
The published specification is the source of truth for paths, parameters, schemas, headers, and errors. The overview below shows the behavior an integration should be designed around.
Authenticated REST requests use an issued API key with the api:read scope. Keys are sent in the Authorization header and can be rotated without changing an integration.
List resources return data, meta, and links. Pass meta.next_cursor back as cursor instead of constructing offsets or depending on row position.
Successful responses expose ETag and X-AUMSearch-Data-Version headers so a client can identify unchanged results and trace a response to its source-data revision.
Account-specific limits are communicated through RateLimit and X-RateLimit headers. A 429 response includes Retry-After for bounded backoff.
Errors return an HTTP status, an explicit error code, a human-readable message, and request context instead of an unstructured HTML response.
Source-reported records retain the relevant source, source URL, filing identity, report period, and source timestamps when those values apply.
https://aumsearch.com/v1Bearer <api-key>Search source-reported adviser firms in a completed SEC or state package.
/v1/managersSearch source-reported adviser firmsSearch Form 13F filing metadata by manager, CIK, CRD, or accession number.
/v1/filingsSearch Form 13F, Form D, or ADV-W filings in a completed source packageQuery as-filed positions by CIK, accession, exact CUSIP or FIGI within one source package.
/v1/holdingsSearch as-filed Form 13F positionsSearch official Section 13(f) list entries by issuer name or CUSIP.
/v1/securitiesSearch official Section 13(f) list entriesRead public service health and dataset statistics, or use the credentialed source-level coverage model.
/v1/statusInspect service health and all dataset statistics/v1/datasets/statsList record counts and freshness for every dataset/v1/datasets/{id}/statsRetrieve record count and freshness for one dataset/v1/sources/statusInspect published dataset freshness and coverageSearch representatives, Form D, private funds and N-PORT reports.
/v1/representativesSearch source-reported adviser representatives/v1/offeringsSearch Form D notices/v1/private-fundsSearch Form ADV private-fund reports/v1/fundsSearch N-PORT fund reports/v1/representative-movesRead source-reported adviser representative moves/v1/newly-registered-advisersRead source-reported first representative registrationsGeneration-pinned source records, history, changes and newsroom evidence; these routes require newsroom:read.
/v1/newsroom/sources/statusInspect newsroom source generations, completeness, history, and limitations/v1/snapshots/{generation_id}Retrieve an immutable completed source snapshot receipt and artifact manifest/v1/snapshots/{generation_id}/representativesPage a complete IAR snapshot pinned to its immutable source artifact/v1/representatives/{crd}Read an IAR representative as observed in one complete snapshot/v1/evidence/iar/representatives/{crd}Read bounded canonical IAR primary evidence bound to one immutable representative version/v1/representatives/{crd}/affiliationsRead source-versioned current and prior IAR affiliations/v1/representatives/{crd}/registration-historyPage generation-bound source-reported current registration statuses and previous registration intervals/v1/firms/{crd}/officesRead IAR business-office evidence without substituting firm headquarters/v1/firms/{crd}/registrationsRead the IAR jurisdiction registrations observed for a firm roster/v1/withdrawalsPage immutable ADV-W filing evidence with exact signer context and explicit unavailable jurisdiction evidence/v1/withdrawals/generationsPage immutable ADV-W archive generations oldest first for bounded sequential catch-up/v1/withdrawals/{withdrawal_id}Read one generation-pinned ADV-W filing record/v1/withdrawals/{withdrawal_id}/later-adv-observationCompare a withdrawal with one selected later immutable ADV snapshot without inferring legal reversal/v1/adv-documents/changesPage the firms whose Part 1 filing, Part 2 brochure or Form CRS changed on one source-reported date/v1/adv-execution-signersPage source-reported execution signers for initial Form ADV registration requests/v1/adv-owner-controlPage source-reported Schedule A/B owner and control relationships without person or current-control inference/v1/adv-history/generationsPage firm-filtered immutable ADV history receipts for signer and owner/control evidence, oldest first/v1/adv-brochures/{brochure_version_id}Read immutable brochure body and extraction availability evidence/v1/adv-brochures/{brochure_version_id}/pagesPage generation-pinned extracted brochure text with page provenance/v1/adv-brochures/generationsPage immutable reconciled official monthly Part 2 archive receipts/v1/adv-brochures/generations/{generation_id}/versionsPage exact brochure membership and text availability in one monthly receipt/v1/adv-brochures/generations/{generation_id}/versions/{brochure_version_id}Read one historical brochure body with exact family and language evidence/v1/adv-brochures/generations/{generation_id}/versions/{brochure_version_id}/pagesPage parser-pinned historical brochure text from exact monthly membership/v1/adv-current/windowRead exact selected ADV dates and the preceding baseline/v1/adv-current/generations/{generation_id}/aum-comparisonsPage the verified complete selected regulatory AUM comparison cohort/v1/adv-current/generations/{generation_id}/firms-batchRead at most 50 selected generation-pinned firm profiles/v1/newsroom/representatives-batchRead at most 50 selected representative profiles/v1/newsroom/evidence-batchRead at most 16 selected checksum-bound candidate packages/v1/adv-current/generationsPage checksum-fenced same-date SEC and state ADV generations oldest first for bounded sequential catch-up/v1/adv-current/generations/{generation_id}/firmsPage source-distinct firm observations pinned to one ADV current generation/v1/adv-current/generations/{generation_id}/presence-changesPage observed feed membership changes without lifecycle inference/v1/adv-current/generations/{generation_id}/field-changesPage typed source field differences between adjacent complete generations/v1/form-13f/generationsPage reconciled immutable SEC Form 13F quarterly and daily generations/v1/form-13f/daily-generationsPage immutable SEC Form 13F daily-index generations oldest first for lossless scheduling/v1/form-13f/generations/{generation_id}/filingsPage source-reported Form 13F filings in one immutable archive window/v1/form-13f/generations/{generation_id}/filings/{accession_number}Read one generation-pinned Form 13F filing and its reported amendment context/v1/form-13f/generations/{generation_id}/filings/{accession_number}/holdingsPage positions as reported in one Form 13F filing without current-ownership inference/v1/form-13f/effective-generationsRead the latest or a selected immutable Form 13F effective-set generation/v1/form-13f/effective-generations/{generation_id}/setsPage source-supported amendment and confidential-treatment effective sets/v1/form-13f/effective-generations/{generation_id}/sets/{effective_set_id}/positionsPage exact reported positions in one complete effective set/v1/form-13f/effective-generations/{generation_id}/position-changesPage adjacent-period reported-position difference primitives with explicit inference holds/v1/form-d/generationsPage reconciled immutable Form D quarterly and daily generations/v1/form-d/generations/{generation_id}/filingsPage filings pinned to one reconciled Form D generation/v1/form-d/generations/{generation_id}/filings/{accession_number}Read one document-scoped Form D filing from an immutable generation/v1/form-d/lineage-generationsRead the latest or a selected immutable Form D reported-lineage generation/v1/form-d/lineage-generations/{generation_id}/filingsPage direct filer-reported predecessor evidence with source receipt coordinates/v1/form-d/lineage-generations/{generation_id}/offering-changesPage reconciled before and after cumulative Form D offering values without flow inference/v1/newsroom/candidatesPage bounded immutable story candidates through a durable append cursor/v1/newsroom/candidates/{candidate_id}/evidenceRead one checksum-bound, story-scoped evidence package/v1/changesPage immutable IAR affiliation changes from a fully consumed generation watermarkFailure behavior
Use the HTTP status for transport behavior and the machine-readable code for application logic. Record the request identifier when escalating a failed request.
HTTP/1.1 429 Too Many Requests
Retry-After: 24
RateLimit-Remaining: 0
{
"data": null,
"error": {
"code": "RATE_LIMITED",
"message": "The API key rate limit was exceeded."
},
"meta": { "request_id": "req_..." },
"links": {}
}Data feeds
A feed is defined by more than a file format. The delivery profile records what is included, how change is represented, where it is sent, and how both systems confirm a successful load.
s3://research-data/aumsearch/advisers/Dataset families, fields, historical window, and any source-specific coverage limits.
A full replacement snapshot, bounded changes since the prior successful delivery, or both.
A delivery schedule aligned to source publication patterns and the workflow that consumes the files.
SFTP, an Amazon S3 bucket, or an Azure Blob Storage container controlled by the agreed delivery profile.
Format, encoding, compression, field types, null behavior, naming, and schema-version policy.
Source cutoff, delivery window, manifest fields, validation, retries, retention, and support path.
Delivery manifest
A delivery manifest should let a pipeline identify the feed, dataset, schema, source cutoff, files, and record totals before promoting data downstream. Exact fields and file conventions are recorded in the delivery profile.
{
"delivery_id": "del_...",
"dataset": "adviser_firms",
"schema_version": "...",
"source_cutoff": "...",
"files": [{ "name": "...", "records": "..." }]
}Dataset contracts
Each guide documents representative normalized columns, native identifiers, filing and event dates, amendment behavior, joins, and interpretation limits. Feed schemas preserve as-filed values and provenance beside normalized fields.
Connect firms and representatives to their registrations, narrative disclosures, private funds, service providers, and exempt offerings.
Adviser firms · Form ADV filings · ADV-W · Ownership · DisclosuresPrivate fund IDs · Fund types · Gross assets · Service providers · Form D linksIndividual CRD · Firm history · State registrations · Qualifications · DisclosuresPart 2A brochures · Part 2B supplements · Form CRS · Document versions · Extracted sectionsForm D/D-A filings · Issuers · Offerings · Recipients · AmendmentsMove from a registrant and series to its registration lifecycle, portfolio holdings, share classes, and source filings.
Form N-1A · Form 485 · Series IDs · Class IDs · ProspectusesFund portfolios · Position values · Debt terms · Derivatives · CounterpartiesStudy periodic holdings and the identifiers connecting managers, issuers, securities, filings, and fund portfolios.
Form 13F filings · Reported holdings · Managers · Report periods · AmendmentsCUSIP · Ticker · FIGI · Issuer · Security classImplementation boundary
This lets engineering begin against a real data model without turning an account-specific quota, cadence, or warehouse decision into a universal product promise.
Share the resources or datasets, historical depth, expected volume, users, and destination.
Confirm credentials, filters, pagination or file loading, provenance, and failure handling against a real sample.
Document owners, quotas or delivery windows, monitoring, retries, schema changes, and the support path.
Build with AUMSearch
Tell us what you are building, which records it needs, and how the data should move through your system.