DIRECT ANSWER
Definition
Form ADV and Form 13F are regulatory forms; IARD and EDGAR are filing systems; IAPD is a public disclosure portal; CRD and CIK identify different record families; accession numbers identify EDGAR submissions; and CUSIPs identify reported securities. AUMSearch connects these layers without treating them as interchangeable.
01
Adviser-registration data family
An investment adviser files Form ADV through IARD. Public portions of the firm and representative record appear through IAPD. The CRD number is the principal registration identifier used to locate the adviser record, while an SEC file number indicates the adviser’s SEC registration file when applicable.
| Layer | Example | Role |
|---|---|---|
| Form | Form ADV | The adviser’s registration/reporting disclosure |
| Filing system | IARD | Electronic submission and administration |
| Public portal | IAPD | Public lookup and disclosure documents |
| Identifier | CRD number | Firm or individual registration record |
02
Institutional-holdings data family
A qualifying institutional investment manager files Form 13F through EDGAR. EDGAR identifies the filer account by CIK and the submission by accession number. The filing information table reports positions using CUSIPs and related fields.
| Layer | Example | Role |
|---|---|---|
| Form | Form 13F-HR | Quarterly report of specified holdings |
| Filing system | EDGAR | Electronic submission and public source documents |
| Filer identifier | CIK | EDGAR filer account |
| Submission identifier | Accession number | One EDGAR submission |
| Security identifier | CUSIP | Reported security issue |
03
The cross-source problem
A legal adviser, a brand, a parent company, and a 13F filing manager can be related without being the same record. A firm can have a CRD, one or more CIK relationships, affiliates, relying advisers, or other managers. Names alone are not a safe join key.
AUMSearch should publish a stable internal entity ID, preserve every native identifier, and explain whether a relationship is direct, deterministic, inferred, reviewed, or unresolved.
04
Where to look up what
| Question | Primary starting point |
|---|---|
| How is an adviser registered? | IAPD / Form ADV |
| What regulatory AUM did it report? | Latest relevant Form ADV filing |
| What 13F positions did a manager report? | EDGAR Form 13F information table |
| Who made an EDGAR filing? | CIK and filing detail page |
| Which submission produced this row? | Accession number |
| Which security was reported? | CUSIP plus issuer/class fields |
SRC
Primary sources
Definitions and regulatory claims on this page are grounded in the following official public resources.