The filing, order, or disclosure itself
This is the evidence a filer or regulator published: a Form ADV answer, EDGAR submission, information table, brochure, release, complaint, or order.
Methodology and coverage
Investment data sources, with the full trail attached.
AUMSearch maps adviser, fund, offering, filing, portfolio, holdings, and security records to their official sources.
Methodology reviewed . Database coverage is validated and dated separately.
Source standards
Not every useful source plays the same role.
A normalized field can begin in a filing, arrive through an official bulk extract, and gain a supplemental identifier mapping. The source class travels with the value so users can distinguish reported fact from AUMSearch processing.
An official structured copy for analysis
SEC flat files and APIs make selected records easier to process. They keep official provenance, but their publication timing and field coverage can differ from the complete filing.
A documented mapping or reference
Ticker, FIGI, name, and entity relationships may require separate evidence. AUMSearch records the provider, observation date, candidates, and review outcome.
Official systems
The publication layers behind AUMSearch.
The SEC is the primary publisher for most record families, but its public portals, filing archives, structured data sets, and registries serve different purposes and update on different schedules.
SEC, states, and FINRA-operated infrastructure
SEC Form ADV dataIARD and IAPD adviser disclosure
Investment advisers file through IARD. Public firm and representative records are exposed through IAPD and related SEC data archives. AUMSearch treats the filed form as the record, IARD as the filing infrastructure, and IAPD as a public access layer.
Access, records, and limitations
Access layerIAPD public profiles, downloadable Form ADV data, and document archives
Publication timingFiling-driven updates plus source-specific current and historical releases
Native identityFirm CRD, individual CRD, SEC file number, filing and document identifiers
- Form ADV Part 1
- Schedule D
- Form ADV-W
- Part 2 brochures
- Form CRS
- IAR records
U.S. Securities and Exchange Commission
SEC filing searchSEC EDGAR filings and submissions
EDGAR is the filing and public-dissemination system behind most AUMSearch filing families. A filing can include an index page, a primary document, structured XML, exhibits, and Commission-generated metadata. Those pieces stay connected under one accession.
Access, records, and limitations
Access layerFiling archives, submissions history, daily indexes, structured attachments, and public search
Publication timingFiling dissemination throughout the day; bulk archives and derived extracts follow their own schedules
Native identityCIK, accession number, form type, SEC file number, series ID, and class ID
- Form D and D/A
- Form 13F
- Form 485 and N-1A
- Form N-PORT
U.S. Securities and Exchange Commission
SEC Data LibrarySEC structured-data extracts
The SEC republishes selected structured filings as analysis-ready flat files. These extracts are useful for bulk research, but the Commission describes them as as-filed data that may omit some filing metadata and should not replace review of the complete submission.
Access, records, and limitations
Access layerQuarterly downloadable ZIP files, readme files, schemas, and table definitions
Publication timingGenerally quarterly for the covered Form 13F and N-PORT datasets
Native identitySubmission identifiers plus form-specific filer, fund, person, and security keys
- Form 13F data sets
- Form N-PORT data sets
U.S. Securities and Exchange Commission
SEC series and class informationInvestment company series and class records
The SEC assigns identifiers to investment-company registrants, series, and share classes. AUMSearch uses these records with Form N-1A and Form 485 filings so a legal registrant, fund series, share class, and ticker are not collapsed into one entity.
Access, records, and limitations
Access layerSEC series and class reports plus the related EDGAR investment-company filings
Publication timingPeriodic registry releases; filing events retain their own accepted, filed, and effective dates
Native identityCIK, 811- file number, 333- file number, series ID, class ID, and class ticker
- Registered fund registrants
- Series
- Share classes
- Class tickers
- Registration statements
- Prospectus amendments
Official filings plus documented reference providers
SEC Official List of Section 13(f) SecuritiesSecurity and identifier evidence
CUSIPs, issuer descriptions, classes, and optional FIGIs or tickers can come from different records. AUMSearch keeps the identifier namespace, the observation period, the mapping source, and any review decision rather than silently treating identifiers as interchangeable.
Access, records, and limitations
Access layerAs-filed security fields, official Section 13(f) lists, and documented supplemental mappings
Publication timingVersioned by source observation and effective period
Native identityCUSIP, issuer description, security class, ticker, FIGI, and internal security record ID
- As-filed CUSIPs
- Official Section 13(f) lists
- Issuer and class descriptions
- Ticker observations
- Reviewed FIGI mappings
Dataset source map
Every dataset stays connected to its native record.
Use this map to identify the source layer, join keys, and dates that should travel with each result. Open a dataset guide for representative columns, analysis workflows, and limitations.
Advisers, people, and private markets
Connect firms and representatives to their registrations, narrative disclosures, private funds, service providers, and exempt offerings.
Adviser intelligence
Adviser firms and Form ADV records
Research registration, ownership, clients, offices, regulatory assets under management, disclosures, amendments, and withdrawals.
Source, keys, and timing
- Official source
- IARD and IAPD
- Native keys
- Firm CRD · SEC file number · filing ID
- Time basis
- Filing date · annual period · amendment date
Private-fund intelligence
Form ADV Schedule D private funds
Connect an adviser to reported private funds, gross assets, fund types, minimum investments, related vehicles, and service providers.
Source, keys, and timing
- Official source
- Form ADV through IARD and IAPD
- Native keys
- Firm CRD · filing ID · private fund ID
- Time basis
- Adviser filing and source reporting period
People and registrations
Investment adviser representative records
Research public IAR registrations, employment history, examinations, professional designations, other business activities, and disclosures.
Source, keys, and timing
- Official source
- IAPD and state disclosure records
- Native keys
- Individual CRD · firm CRD · jurisdiction
- Time basis
- Registration · employment · disclosure dates
Narrative disclosure
Form ADV Part 2 brochures and Form CRS
Search adviser-authored descriptions of services, fees, conflicts, disciplinary history, investment methods, and retail relationships.
Source, keys, and timing
- Official source
- IAPD and SEC document archives
- Native keys
- Firm CRD · document type · document ID
- Time basis
- Filed · effective · document version dates
Private offerings
Form D and D/A offering records
Follow issuers, offering details, amounts, dates, recipients, related people, signatures, and amendments.
Source, keys, and timing
- Official source
- SEC Form D data sets and EDGAR
- Native keys
- CIK · accession · file number · issuer
- Time basis
- First sale · filed · accepted · amendment dates
Registered funds and portfolios
Move from a registrant and series to its registration lifecycle, portfolio holdings, share classes, and source filings.
Registered products
Registered funds and Form 485 filings
Connect registrants to series, share classes, tickers, N-1A registration statements, prospectuses, and post-effective amendments.
Source, keys, and timing
- Official source
- SEC EDGAR and series/class records
- Native keys
- CIK · 333-/811- file · series · class · accession
- Time basis
- Filed · accepted · effective · prospectus dates
Portfolio transparency
Form N-PORT fund portfolio holdings
Analyze registered-fund portfolios, position values, asset classifications, debt terms, derivatives, counterparties, and securities lending.
Source, keys, and timing
- Official source
- SEC EDGAR and Form N-PORT data sets
- Native keys
- CIK · series ID · accession · holding ID
- Time basis
- Monthly report periods · quarterly filing cycle · public third-month data under current rules
Institutional holdings and securities
Study periodic holdings and the identifiers connecting managers, issuers, securities, filings, and fund portfolios.
Institutional holdings
Form 13F filings and reported holdings
Move from a filing manager to quarterly reports, amendments, issuers, securities, reported values, quantities, and voting authority.
Source, keys, and timing
- Official source
- SEC EDGAR and Form 13F data sets
- Native keys
- CIK · 13F file number · accession · CUSIP
- Time basis
- Quarter-end report period · filed · accepted
Security reference
Securities and identifier history
Resolve as-filed issuer descriptions and identifiers into references connected to managers, filings, funds, portfolios, and offerings.
Source, keys, and timing
- Official source
- Source filings and reference evidence
- Native keys
- CUSIP · issuer/class · ticker · FIGI
- Time basis
- First observed · last observed · source period
Publication method
A usable record still needs a research trail.
AUMSearch does not treat successful download as successful publication. Records move through source capture, parsing, normalization, relationship review, reconciliation, and coverage validation before they appear as published data.
Record provenancePublication review
One record · complete evidenceObserveCapture the immutable source artifact
Publisher, source URL, retrieval time, content identity, and native format.
ParseRead the source-defined fields
Form version, table, item, units, codes, and raw values remain identifiable.
ConnectResolve entities with evidence
Native identifiers lead; ambiguous name-only relationships stay unresolved.
PublishValidate counts, dates, and links
Coverage appears only after the active source window passes its quality checks.
Source dateWhat period or event the record describes
Filing dateWhen the filer submitted it
Publication dateWhen the source exposed it
Processed dateWhen AUMSearch validated it
Preserve the native record
Raw source values, document references, form types, and identifiers stay available after normalization.
Keep dates distinct
Report, event, filed, accepted, effective, source-published, retrieved, and processed dates are not interchangeable.
Retain history
Amendments, withdrawals, prior periods, document versions, and later case events do not silently overwrite the original record.
Show the evidence for joins
CRD, CIK, accession, series, class, person, fund, and security relationships remain traceable to the evidence used to connect them.
Publish validated coverage only
A source may publish a new record before it clears ingestion, reconciliation, and quality checks. Coverage dates reflect validated publication.
State what the record cannot prove
A disclosure is not automatically current, complete, audited, or evidence of performance, intent, suitability, or wrongdoing.
Official resources
Go directly to the publisher.
These resources define the source records, public access layers, downloadable data, and technical formats used throughout the catalog. Supplemental references are labeled so they are not mistaken for regulatory filings.
Adviser registration and disclosure
6 official resources
SEC Form ADV dataCurrent access, historical Part 1 and ADV-W files, brochure archives, and Form CRS documents.Investment Adviser Public DisclosureOfficial public search for adviser firms, representatives, filings, and disclosure documents.SEC Form ADV and IARD FAQsOfficial filing-system and interpretation guidance for adviser records.SEC Form ADV and instructionsOfficial field definitions, schedules, filing rules, and regulatory AUM instructions.SEC Form CRS instructionsOfficial instructions for the adviser and broker-dealer relationship summary.NASAA investment adviser resourcesState-regulator resources relevant to state advisers and representatives.
EDGAR filings and structured data
5 official resources
SEC filing searchOfficial EDGAR search, latest filings, mutual-fund search, and filing resources.EDGAR public data APIsPublic submissions history, XBRL APIs, bulk archives, and update schedules.EDGAR technical specificationsOfficial XML and structured-submission specifications for covered forms.SEC Form 13F data setsQuarterly flat-file extracts of structured Form 13F submissions.SEC Form 13F FAQOfficial reporting scope, filing-cycle, deadline, and amendment guidance.
Registered funds and securities
8 official resources
SEC series and class informationRegistrant, series, share-class, and ticker identifiers used with investment-company filings.SEC Form N-PORT data setsPublic portfolio and holding extracts with quarterly download packages.SEC Form N-PORTOfficial form defining the portfolio, holding, risk, and counterparty fields.SEC Form N-1AOfficial registration form for open-end management investment companies.SEC mutual fund searchOfficial fund filing search by fund name, ticker, series, class, or CIK.Official List of Section 13(f) SecuritiesPeriod-specific security-list evidence for Form 13F research.OpenFIGI documentationSupplemental identifier-mapping documentation; not a primary regulatory record.CUSIP Global Services termsLicensing terms relevant to separate CUSIP database content and redistribution.
Private offerings
3 official resources
Follow the evidence
Start with a question. Keep the source attached.
Explore the full dataset catalog, search current published records, or review how AUMSearch normalizes fields without erasing their original meaning.