{ "openapi": "3.1.0", "info": { "title": "AUMSearch REST API", "version": "0.1.0", "description": "Read-only, source-linked access to normalized adviser firms, Form ADV records, Form 13F filings, reported holdings, securities, comparisons, and dataset freshness. Form ADV regulatory AUM is not interchangeable with Form 13F disclosed value, and position changes do not prove trades." }, "servers": [ { "url": "https://aumsearch.com" } ], "security": [ { "bearerAuth": [] }, {} ], "paths": { "/v1/status": { "get": { "summary": "Read service health and all dataset statistics", "security": [], "responses": { "200": { "description": "Current public service and dataset status snapshot", "headers": { "X-AUMSearch-Snapshot-Source": { "$ref": "#/components/headers/XAumSearchSnapshotSource" } }, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/PublicStatusEnvelope" } } } }, "400": { "$ref": "#/components/responses/PublicStatusError" }, "503": { "$ref": "#/components/responses/PublicStatusError" } } } }, "/v1/datasets/stats": { "get": { "summary": "List public statistics for every dataset", "security": [], "responses": { "200": { "description": "Record counts, freshness, and pipeline state for every dataset", "headers": { "X-AUMSearch-Snapshot-Source": { "$ref": "#/components/headers/XAumSearchSnapshotSource" } }, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/DatasetStatsPage" } } } }, "400": { "$ref": "#/components/responses/PublicStatusError" }, "503": { "$ref": "#/components/responses/PublicStatusError" } } } }, "/v1/datasets/{id}/stats": { "get": { "summary": "Read public statistics for one dataset", "security": [], "parameters": [ { "name": "id", "in": "path", "required": true, "schema": { "$ref": "#/components/schemas/DatasetId" } } ], "responses": { "200": { "description": "Record count, freshness, and pipeline state for one dataset", "headers": { "X-AUMSearch-Snapshot-Source": { "$ref": "#/components/headers/XAumSearchSnapshotSource" } }, "content": { "application/json": { "schema": { "$ref": "#/components/schemas/DatasetStatEnvelope" } } } }, "400": { "$ref": "#/components/responses/PublicStatusError" }, "404": { "$ref": "#/components/responses/PublicStatusError" }, "503": { "$ref": "#/components/responses/PublicStatusError" } } } }, "/v1/managers": { "get": { "summary": "Search investment managers", "parameters": [ { "$ref": "#/components/parameters/Query" }, { "name": "crd", "in": "query", "schema": { "type": "string" } }, { "name": "cik", "in": "query", "schema": { "type": "string" } }, { "name": "state", "in": "query", "schema": { "type": "string" } }, { "name": "city", "in": "query", "schema": { "type": "string" } }, { "name": "registration_category", "in": "query", "schema": { "type": "string" } }, { "name": "registration_status", "in": "query", "schema": { "type": "string" } }, { "name": "firm_type", "in": "query", "description": "Exact latest Form ADV organization/legal form.", "schema": { "type": "string" } }, { "name": "advisory_service", "in": "query", "description": "Exact affirmative advisory-service coordinate on the latest applicable published Form ADV firm version.", "schema": { "type": "string", "enum": [ "5.G.1", "5.G.2", "5.G.3", "5.G.4", "5.G.5", "5.G.6", "5.G.7", "5.G.8", "5.G.9", "5.G.10", "5.G.11", "5.G.12" ] } }, { "name": "compensation_arrangement", "in": "query", "description": "Exact affirmative compensation-arrangement coordinate on the latest applicable published Form ADV firm version.", "schema": { "type": "string", "enum": [ "5.E.1", "5.E.2", "5.E.3", "5.E.4", "5.E.5", "5.E.6", "5.E.7" ] } }, { "name": "latest_13f_period", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "min_raum", "in": "query", "schema": { "type": "number", "minimum": 0 } }, { "name": "max_raum", "in": "query", "schema": { "type": "number", "minimum": 0 } }, { "name": "has_13f", "in": "query", "schema": { "type": "boolean" } }, { "name": "sort", "in": "query", "schema": { "type": "string", "enum": ["relevance", "name", "raum_desc", "latest_13f"] } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Manager page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ManagerPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/managers/{id}": { "get": { "summary": "Get a sourced manager profile", "parameters": [ { "$ref": "#/components/parameters/ManagerId" } ], "responses": { "200": { "description": "Manager detail", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ManagerDetailEnvelope" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "404": { "$ref": "#/components/responses/Error" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/managers/{id}/filings": { "get": { "summary": "List a manager's filing history", "parameters": [ { "$ref": "#/components/parameters/ManagerId" }, { "$ref": "#/components/parameters/Query" }, { "name": "source", "in": "query", "schema": { "type": "string", "enum": ["sec_edgar", "sec_13f_bulk", "iapd_adv"] } }, { "name": "form_family", "in": "query", "schema": { "type": "string", "enum": ["13f", "adv", "adv_w"] } }, { "$ref": "#/components/parameters/FormType" }, { "name": "filed_from", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "filed_to", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "report_period_from", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "report_period_to", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "amended", "in": "query", "schema": { "type": "boolean" } }, { "name": "accession_number", "in": "query", "schema": { "type": "string" } }, { "name": "sort", "in": "query", "schema": { "type": "string", "enum": [ "filed_desc", "filed_asc", "report_period_desc", "report_period_asc" ] } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Filing page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/FilingPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/managers/{id}/comparisons": { "get": { "summary": "Compare two Form 13F report periods", "description": "Calculated changes do not prove trades.", "parameters": [ { "$ref": "#/components/parameters/ManagerId" }, { "name": "current_period", "in": "query", "required": true, "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "previous_period", "in": "query", "required": true, "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "security_id", "in": "query", "schema": { "type": "string", "format": "uuid" } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Calculated comparison page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ComparisonPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/filings": { "get": { "summary": "Search regulatory filings", "parameters": [ { "$ref": "#/components/parameters/Query" }, { "name": "form_family", "in": "query", "schema": { "type": "string", "enum": ["13f", "adv", "adv_w"] } }, { "$ref": "#/components/parameters/FormType" }, { "name": "source", "in": "query", "schema": { "type": "string", "enum": ["sec_edgar", "sec_13f_bulk", "iapd_adv"] } }, { "name": "manager_id", "in": "query", "schema": { "type": "string", "format": "uuid" } }, { "name": "manager", "in": "query", "description": "Alias of manager_id.", "schema": { "type": "string", "format": "uuid" } }, { "name": "accession_number", "in": "query", "schema": { "type": "string" } }, { "name": "filed_from", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "filed_to", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "report_period_from", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "report_period_to", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "amended", "in": "query", "schema": { "type": "boolean" } }, { "name": "sort", "in": "query", "schema": { "type": "string", "enum": [ "filed_desc", "filed_asc", "report_period_desc", "report_period_asc" ] } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Filing page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/FilingPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/filings/{id}": { "get": { "summary": "Get filing detail, source structure, and parser warnings", "parameters": [ { "$ref": "#/components/parameters/Id" } ], "responses": { "200": { "description": "Filing detail", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/FilingDetailEnvelope" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "404": { "$ref": "#/components/responses/Error" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/holdings": { "get": { "summary": "Search reported Form 13F holdings", "description": "At least one manager, filing, security, period, CUSIP, FIGI, ticker, or issuer criterion is required.", "parameters": [ { "name": "manager_id", "in": "query", "schema": { "type": "string", "format": "uuid" } }, { "name": "manager", "in": "query", "description": "Alias of manager_id.", "schema": { "type": "string", "format": "uuid" } }, { "name": "filing_id", "in": "query", "schema": { "type": "string", "format": "uuid" } }, { "name": "filing", "in": "query", "description": "Alias of filing_id.", "schema": { "type": "string", "format": "uuid" } }, { "name": "security_id", "in": "query", "schema": { "type": "string", "format": "uuid" } }, { "name": "period", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "period_from", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "period_to", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "form_type", "in": "query", "description": "Exact Form 13F filing type, such as 13F-HR or 13F-HR/A.", "schema": { "type": "string", "maxLength": 50 } }, { "name": "cusip", "in": "query", "schema": { "type": "string" } }, { "name": "figi", "in": "query", "schema": { "type": "string" } }, { "name": "ticker", "in": "query", "schema": { "type": "string" } }, { "name": "issuer", "in": "query", "schema": { "type": "string" } }, { "name": "put_call", "in": "query", "schema": { "type": "string", "enum": ["put", "call", "none"] } }, { "name": "change_type", "in": "query", "schema": { "type": "string", "enum": ["new", "increased", "decreased", "exited"] } }, { "name": "list_validation", "in": "query", "schema": { "type": "string", "enum": [ "matched", "not_listed", "option_not_listed", "ambiguous", "no_snapshot", "pending" ] } }, { "name": "min_value", "in": "query", "schema": { "type": "number", "minimum": 0 } }, { "name": "min_reported_value", "in": "query", "description": "Alias of min_value.", "schema": { "type": "number", "minimum": 0 } }, { "name": "max_value", "in": "query", "schema": { "type": "number", "minimum": 0 } }, { "name": "max_reported_value", "in": "query", "description": "Alias of max_value.", "schema": { "type": "number", "minimum": 0 } }, { "name": "sort", "in": "query", "schema": { "type": "string", "enum": [ "value_desc", "value_asc", "quantity_desc", "issuer_asc", "filing_date_desc", "manager_asc" ] } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Holdings page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/HoldingPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/securities": { "get": { "summary": "Search normalized securities", "description": "Searches exact identifiers and exact or prefix canonical names. Identifier filters are explicit and may be made effective-date aware.", "parameters": [ { "$ref": "#/components/parameters/Query" }, { "name": "namespace", "in": "query", "description": "Must be provided together with value.", "schema": { "type": "string", "enum": ["cusip", "figi", "ticker"] } }, { "name": "value", "in": "query", "description": "Exact identifier value; must be provided together with namespace.", "schema": { "type": "string", "maxLength": 64 } }, { "name": "exchange_mic", "in": "query", "description": "Optional exchange qualifier for an explicit namespace/value lookup.", "schema": { "type": "string", "maxLength": 12 } }, { "name": "as_of", "in": "query", "description": "Require the explicit identifier to be effective on this date.", "schema": { "$ref": "#/components/schemas/Date" } }, { "name": "security_type", "in": "query", "description": "Exact normalized security type.", "schema": { "type": "string", "maxLength": 100 } }, { "name": "lifecycle_status", "in": "query", "schema": { "type": "string", "enum": ["observed", "active", "inactive", "unknown"] } }, { "name": "sort", "in": "query", "schema": { "type": "string", "enum": ["relevance", "name", "last_observed_desc"] } }, { "$ref": "#/components/parameters/Limit" }, { "$ref": "#/components/parameters/Cursor" } ], "responses": { "200": { "description": "Security search page", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/SecuritySearchPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/securities/resolve": { "get": { "summary": "Resolve a source-native security identifier", "parameters": [ { "name": "namespace", "in": "query", "required": true, "schema": { "type": "string", "enum": ["cusip", "figi", "ticker"] } }, { "name": "value", "in": "query", "required": true, "schema": { "type": "string" } }, { "name": "exchange_mic", "in": "query", "schema": { "type": "string" } }, { "name": "as_of", "in": "query", "schema": { "$ref": "#/components/schemas/Date" } } ], "responses": { "200": { "description": "Zero, one, or multiple explicit candidates with ambiguity metadata", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/SecurityPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "400": { "$ref": "#/components/responses/Error" }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/securities/{id}": { "get": { "summary": "Get a normalized security and identifier history", "parameters": [ { "$ref": "#/components/parameters/Id" } ], "responses": { "200": { "description": "Security detail", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/SecurityDetailEnvelope" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "404": { "$ref": "#/components/responses/Error" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } }, "/v1/sources/status": { "get": { "summary": "Read database-derived source freshness and reconciled coverage", "responses": { "200": { "description": "Source status records; counts are withheld when reconciliation has not passed", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/SourceStatusPage" } } }, "headers": { "ETag": { "$ref": "#/components/headers/ETag" }, "X-AUMSearch-Data-Version": { "$ref": "#/components/headers/XAumSearchDataVersion" }, "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" } } }, "401": { "$ref": "#/components/responses/Unauthorized" }, "403": { "$ref": "#/components/responses/Forbidden" }, "429": { "$ref": "#/components/responses/RateLimited" }, "503": { "$ref": "#/components/responses/AccessControlUnavailable" } } } } }, "components": { "securitySchemes": { "bearerAuth": { "type": "http", "scheme": "bearer", "bearerFormat": "AUMSearch API key", "description": "Use an API key when access control requires authentication. Anonymous requests follow the configured access policy." } }, "parameters": { "Id": { "name": "id", "in": "path", "required": true, "schema": { "type": "string", "format": "uuid" } }, "ManagerId": { "name": "id", "in": "path", "required": true, "description": "Canonical or linked AUMSearch manager UUID. Responses and canonical links use the canonical public manager UUID.", "schema": { "type": "string", "format": "uuid" } }, "Query": { "name": "query", "in": "query", "schema": { "type": "string", "maxLength": 200 } }, "FormType": { "name": "form_type", "in": "query", "schema": { "type": "string" } }, "Limit": { "name": "limit", "in": "query", "schema": { "type": "integer", "minimum": 1, "maximum": 100, "default": 25 } }, "Cursor": { "name": "cursor", "in": "query", "description": "Opaque cursor returned by the previous page.", "schema": { "type": "string" } } }, "responses": { "PublicStatusError": { "description": "The public status request was invalid or the snapshot is unavailable.", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/PublicStatusErrorEnvelope" } } } }, "Error": { "description": "Structured error", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ErrorEnvelope" } } } }, "Unauthorized": { "description": "Authentication is required or the supplied API key is invalid.", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ErrorEnvelope" } } }, "headers": { "WWW-Authenticate": { "$ref": "#/components/headers/WWWAuthenticate" } } }, "Forbidden": { "description": "The request origin is not allowed or the authenticated API key lacks access.", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ErrorEnvelope" } } } }, "RateLimited": { "description": "The anonymous or API-key request rate limit was exceeded.", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ErrorEnvelope" } } }, "headers": { "X-RateLimit-Limit": { "$ref": "#/components/headers/XRateLimitLimit" }, "X-RateLimit-Remaining": { "$ref": "#/components/headers/XRateLimitRemaining" }, "X-RateLimit-Reset": { "$ref": "#/components/headers/XRateLimitReset" }, "Retry-After": { "$ref": "#/components/headers/RetryAfter" } } }, "AccessControlUnavailable": { "description": "Authentication or authorization is temporarily unavailable.", "content": { "application/json": { "schema": { "$ref": "#/components/schemas/ErrorEnvelope" } } } } }, "schemas": { "DatasetId": { "type": "string", "enum": [ "adviser_firms", "form_adv_filings", "form_13f_filings", "form_d_filings", "adv_private_funds", "adviser_representatives", "adv_documents", "nport_holdings" ] }, "PublicServiceStatus": { "type": "object", "required": ["id", "label", "status", "detail"], "properties": { "id": { "type": "string" }, "label": { "type": "string" }, "status": { "type": "string", "enum": ["operational", "paused", "degraded"] }, "detail": { "type": "string" } } }, "DatasetStat": { "type": "object", "required": [ "id", "status", "record_count", "last_data_update", "latest_pipeline_check", "pipeline_status", "pipeline_lane" ], "properties": { "id": { "$ref": "#/components/schemas/DatasetId" }, "status": { "type": "string", "enum": ["operational", "backfilling", "updating", "degraded", "available", "unknown"] }, "record_count": { "type": "integer", "minimum": 0 }, "last_data_update": { "type": ["string", "null"], "format": "date" }, "latest_pipeline_check": { "type": ["string", "null"], "format": "date-time" }, "pipeline_status": { "type": ["string", "null"] }, "pipeline_lane": { "type": ["string", "null"] } } }, "PublicStatusMeta": { "type": "object", "required": ["schema", "generated_at", "as_of"], "properties": { "schema": { "type": "string", "const": "aumsearch.site-coverage.v1" }, "generated_at": { "type": "string", "format": "date-time" }, "as_of": { "type": "string", "format": "date" } } }, "PublicStatusLinks": { "type": "object", "required": ["self"], "properties": { "self": { "type": "string" }, "collection": { "type": "string" } } }, "PublicStatusEnvelope": { "type": "object", "required": ["data", "meta", "links"], "properties": { "data": { "type": "object", "required": ["services", "datasets"], "properties": { "services": { "type": "array", "items": { "$ref": "#/components/schemas/PublicServiceStatus" } }, "datasets": { "type": "array", "items": { "$ref": "#/components/schemas/DatasetStat" } } } }, "meta": { "$ref": "#/components/schemas/PublicStatusMeta" }, "links": { "$ref": "#/components/schemas/PublicStatusLinks" } } }, "DatasetStatsPage": { "type": "object", "required": ["data", "meta", "links"], "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/DatasetStat" } }, "meta": { "$ref": "#/components/schemas/PublicStatusMeta" }, "links": { "$ref": "#/components/schemas/PublicStatusLinks" } } }, "DatasetStatEnvelope": { "type": "object", "required": ["data", "meta", "links"], "properties": { "data": { "$ref": "#/components/schemas/DatasetStat" }, "meta": { "$ref": "#/components/schemas/PublicStatusMeta" }, "links": { "$ref": "#/components/schemas/PublicStatusLinks" } } }, "PublicStatusErrorEnvelope": { "type": "object", "required": ["data", "error"], "properties": { "data": { "type": "null" }, "error": { "type": "object", "required": ["code", "message"], "properties": { "code": { "type": "string" }, "message": { "type": "string" } } } } }, "Date": { "type": "string", "format": "date" }, "Provenance": { "type": "object", "required": ["source", "source_url"], "properties": { "source": { "type": "string" }, "source_record_id": { "type": "string" }, "source_url": { "type": "string", "format": "uri" }, "report_period": { "type": "string", "format": "date" }, "filed_at": { "type": "string", "format": "date" }, "accepted_at": { "type": "string", "format": "date-time" }, "retrieved_at": { "type": "string", "format": "date-time" }, "parser_version": { "type": "string" } } }, "Meta": { "type": "object", "required": ["request_id"], "properties": { "request_id": { "type": "string" }, "count": { "type": "integer" }, "has_more": { "type": "boolean" }, "next_cursor": { "type": ["string", "null"] }, "manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Canonical public manager UUID for a manager-scoped response." }, "requested_manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Manager UUID supplied by the caller when it differs from or aliases the canonical public manager." }, "comparison": { "oneOf": [ { "$ref": "#/components/schemas/ComparisonMetadata" }, { "type": "null" } ], "description": "Comparison state and the exact effective reports selected for both periods." } }, "additionalProperties": true }, "Links": { "type": "object", "properties": { "self": { "type": "string", "format": "uri" }, "next": { "type": ["string", "null"], "format": "uri" } }, "additionalProperties": true }, "ManagerName": { "type": "object", "required": ["name", "type", "provenance"], "properties": { "name": { "type": "string" }, "type": { "type": "string" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid", "description": "Native organization UUID that supplied this historical name." }, "effective_from": { "type": ["string", "null"] }, "effective_to": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "ManagerIdentifier": { "type": "object", "required": ["namespace", "value", "provenance"], "properties": { "namespace": { "type": "string" }, "value": { "type": "string" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid", "description": "Native organization UUID that owns this reported identifier." }, "effective_from": { "type": ["string", "null"] }, "effective_to": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "ManagerLocation": { "type": "object", "required": ["type", "provenance"], "properties": { "type": { "type": "string" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid", "description": "Native organization UUID that supplied this location." }, "effective_from": { "type": ["string", "null"] }, "effective_to": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "ManagerRelationship": { "type": "object", "required": [ "organization_id", "type", "assertion_type", "review_status", "provenance" ], "properties": { "organization_id": { "type": "string", "format": "uuid", "description": "Canonical public UUID of the related organization." }, "source_organization_id": { "type": ["string", "null"], "format": "uuid", "description": "Native subject organization UUID that supplied this relationship." }, "source_related_organization_id": { "type": ["string", "null"], "format": "uuid", "description": "Native object organization UUID before public canonical projection." }, "type": { "type": "string" }, "assertion_type": { "type": "string" }, "review_status": { "type": "string" }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvBusinessPractice": { "type": "object", "required": ["subject_area", "form_item", "provenance"], "properties": { "subject_area": { "type": "string", "enum": ["compensation_arrangement", "advisory_service"] }, "form_item": { "type": "string" }, "response": { "type": ["boolean", "null"] }, "response_code": { "type": ["string", "null"] }, "other_description": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": false }, "AdvCustodyResponse": { "type": "object", "required": [ "form_item", "response_kind", "response_state", "provenance" ], "properties": { "form_item": { "type": "string" }, "response_kind": { "type": "string", "enum": [ "boolean", "amount_usd", "client_count", "month_year", "qualified_custodian_count" ] }, "boolean_response": { "type": ["boolean", "null"] }, "numeric_response": { "type": ["string", "null"], "description": "Exact non-negative whole-number response serialized as a decimal string." }, "normalized_text_response": { "type": ["string", "null"] }, "response_code": { "type": ["string", "null"] }, "response_state": { "type": "string" }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": false }, "AdvDrpRecord": { "type": "object", "description": "Firm-level DRP linkage only. Person-level Filed Against values remain in immutable source evidence and are not projected.", "required": ["reference_id", "record_type", "form_items", "provenance"], "properties": { "reference_id": { "type": "string" }, "record_type": { "type": "string", "enum": [ "advisory_affiliate", "criminal", "regulatory", "civil_judicial" ] }, "disclosure_type": { "type": ["string", "null"] }, "initial_or_amended": { "type": ["string", "null"] }, "form_items": { "type": "array", "items": { "type": "string" } }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": false }, "AdvDisclosureFlag": { "type": "object", "required": ["form_item", "drp_references", "provenance"], "properties": { "form_item": { "type": "string" }, "response": { "type": ["boolean", "null"] }, "drp_reference": { "type": ["string", "null"] }, "drp_references": { "type": "array", "items": { "type": "string" } }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": false }, "AdvWebsite": { "type": "object", "required": ["provenance"], "properties": { "url": { "type": "string", "format": "uri" }, "type": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvRegistration": { "type": "object", "required": ["provenance"], "properties": { "scope": { "type": ["string", "null"] }, "jurisdiction": { "type": ["string", "null"] }, "type": { "type": ["string", "null"] }, "status": { "type": ["string", "null"] }, "effective_date": { "type": ["string", "null"] }, "termination_date": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvOffice": { "type": "object", "required": ["provenance"], "properties": { "type": { "type": ["string", "null"] }, "address_line_1": { "type": ["string", "null"] }, "address_line_2": { "type": ["string", "null"] }, "city": { "type": ["string", "null"] }, "state": { "type": ["string", "null"] }, "postal_code": { "type": ["string", "null"] }, "country": { "type": ["string", "null"] }, "telephone": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvClientType": { "type": "object", "required": ["provenance"], "properties": { "client_type_code": { "type": "string" }, "response_code": { "type": ["string", "null"] }, "account_count_response": { "type": ["string", "number", "null"] }, "regulatory_aum_usd": { "type": ["string", "number", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvRelatedEntity": { "type": "object", "required": ["provenance"], "properties": { "relationship_type": { "type": ["string", "null"] }, "legal_name": { "type": ["string", "null"] }, "crd_number": { "type": ["string", "null"] }, "sec_file_number": { "type": ["string", "null"] }, "control_status": { "type": ["string", "null"] }, "ownership_response": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvPrivateFund": { "type": "object", "required": ["provenance"], "properties": { "fund_name": { "type": ["string", "null"] }, "private_fund_id": { "type": ["string", "null"] }, "fund_type": { "type": ["string", "null"] }, "gross_asset_value_usd": { "type": ["string", "number", "null"] }, "minimum_investment_usd": { "type": ["string", "number", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvRelyingAdviser": { "type": "object", "required": ["provenance"], "properties": { "legal_name": { "type": ["string", "null"] }, "crd_number": { "type": ["string", "null"] }, "sec_file_number": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "LatestAdv": { "type": "object", "properties": { "id": { "type": ["string", "null"], "format": "uuid" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid" }, "crd_number": { "type": ["string", "null"] }, "legal_name": { "type": ["string", "null"] }, "primary_business_name": { "type": ["string", "null"] }, "registration_category": { "type": ["string", "null"] }, "registration_status": { "type": ["string", "null"] }, "organization_type": { "type": ["string", "null"] }, "fiscal_year_end": { "type": ["string", "null"] }, "regulatory_aum_total_usd": { "type": ["string", "number", "null"] }, "regulatory_aum_discretionary_usd": { "type": ["string", "number", "null"] }, "regulatory_aum_nondiscretionary_usd": { "type": ["string", "number", "null"] }, "source_effective_at": { "type": ["string", "null"] }, "websites": { "type": "array", "items": { "$ref": "#/components/schemas/AdvWebsite" } }, "registrations": { "type": "array", "items": { "$ref": "#/components/schemas/AdvRegistration" } }, "offices": { "type": "array", "items": { "$ref": "#/components/schemas/AdvOffice" } }, "business_practices": { "type": "array", "items": { "$ref": "#/components/schemas/AdvBusinessPractice" } }, "custody_responses": { "type": "array", "items": { "$ref": "#/components/schemas/AdvCustodyResponse" } }, "drp_records": { "type": "array", "items": { "$ref": "#/components/schemas/AdvDrpRecord" } }, "client_types": { "type": "array", "items": { "$ref": "#/components/schemas/AdvClientType" } }, "related_entities": { "type": "array", "items": { "$ref": "#/components/schemas/AdvRelatedEntity" } }, "private_funds": { "type": "array", "items": { "$ref": "#/components/schemas/AdvPrivateFund" } }, "relying_advisers": { "type": "array", "items": { "$ref": "#/components/schemas/AdvRelyingAdviser" } }, "disclosure_flags": { "type": "array", "items": { "$ref": "#/components/schemas/AdvDisclosureFlag" } } }, "additionalProperties": true }, "SecurityAsFiledName": { "type": "object", "required": ["issuer_name", "title_of_class", "provenance"], "properties": { "issuer_name": { "type": "string" }, "title_of_class": { "type": "string" }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "AdvDocument": { "type": "object", "required": ["provenance"], "properties": { "id": { "type": "string", "format": "uuid" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid" }, "document_type": { "type": "string" }, "title": { "type": ["string", "null"] }, "submitted_date": { "type": ["string", "null"], "format": "date" }, "source_version_id": { "type": ["string", "null"] }, "official_document_url": { "type": ["string", "null"], "format": "uri" }, "official_firm_url": { "type": ["string", "null"], "format": "uri" }, "media_type": { "type": ["string", "null"] }, "current_at_source": { "type": ["boolean", "null"] }, "observed_at": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "Form13FOtherManager": { "type": "object", "required": ["provenance"], "properties": { "sequence_number": { "type": ["integer", "string", "null"] }, "manager_list_type": { "type": ["string", "null"] }, "name": { "type": ["string", "null"] }, "cik": { "type": ["string", "null"] }, "crd": { "type": ["string", "null"] }, "form_13f_file_number": { "type": ["string", "null"] }, "sec_file_number": { "type": ["string", "null"] }, "resolved_organization_id": { "type": ["string", "null"], "format": "uuid" }, "source_resolved_organization_id": { "type": ["string", "null"], "format": "uuid" }, "official_filing_url": { "type": ["string", "null"], "format": "uri" }, "source_locator": { "type": ["string", "null"] }, "source_row_key": { "type": ["string", "null"] }, "source_row_number": { "type": ["integer", "string", "null"] }, "parser_version": { "type": ["string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "Latest13F": { "type": "object", "properties": { "filing_id": { "type": "string", "format": "uuid" }, "source_organization_id": { "type": ["string", "null"], "format": "uuid" }, "report_period": { "type": ["string", "null"], "format": "date" }, "report_type": { "type": ["string", "null"] }, "reported_entry_total": { "type": ["integer", "string", "null"] }, "reported_table_value_usd": { "type": ["string", "number", "null"] }, "quality_status": { "type": ["string", "null"] }, "official_filing_url": { "type": ["string", "null"], "format": "uri" }, "other_managers": { "type": "array", "items": { "$ref": "#/components/schemas/Form13FOtherManager" } } }, "additionalProperties": true }, "Manager": { "type": "object", "required": ["id", "display_name", "provenance"], "properties": { "id": { "type": "string", "format": "uuid", "description": "Canonical public manager UUID after reviewed entity-resolution applications." }, "display_name": { "type": "string" }, "legal_name": { "type": ["string", "null"] }, "firm_type": { "type": ["string", "null"] }, "matched_name": { "type": ["string", "null"] }, "matched_name_type": { "type": ["string", "null"] }, "registration_category": { "type": ["string", "null"] }, "registration_status": { "type": ["string", "null"] }, "regulatory_aum_total_usd": { "type": ["string", "number", "null"] }, "latest_13f_report_period": { "type": ["string", "null"] }, "names": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerName" } }, "identifier_history": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerIdentifier" } }, "locations": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerLocation" } }, "relationships": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerRelationship" } }, "latest_13f": { "type": ["object", "null"], "description": "Latest Form 13F summary. Nested resolved organization IDs are canonical; source_resolved_organization_id retains the native source identity." }, "latest_adv": { "oneOf": [ { "$ref": "#/components/schemas/LatestAdv" }, { "type": "null" } ] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "ManagerDetail": { "allOf": [ { "$ref": "#/components/schemas/Manager" }, { "type": "object", "properties": { "identifiers": { "type": "object", "additionalProperties": { "type": "array", "items": { "type": "string" } } }, "names": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerName" } }, "identifier_history": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerIdentifier" } }, "locations": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerLocation" } }, "relationships": { "type": "array", "items": { "$ref": "#/components/schemas/ManagerRelationship" } }, "latest_adv": { "oneOf": [ { "$ref": "#/components/schemas/LatestAdv" }, { "type": "null" } ] }, "adv_documents": { "type": "array", "items": { "$ref": "#/components/schemas/AdvDocument" } }, "latest_13f": { "oneOf": [ { "$ref": "#/components/schemas/Latest13F" }, { "type": "null" } ] } }, "additionalProperties": true } ] }, "Filing": { "type": "object", "required": ["id", "form_type", "provenance"], "properties": { "id": { "type": "string", "format": "uuid" }, "form_type": { "type": "string" }, "source": { "type": ["string", "null"] }, "source_filing_key": { "type": ["string", "null"] }, "manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Canonical public manager UUID after reviewed entity-resolution applications." }, "source_manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Native organization UUID attached to this source filing before public canonical projection." }, "manager_name": { "type": ["string", "null"] }, "accession_number": { "type": ["string", "null"] }, "report_period": { "type": ["string", "null"] }, "filed_date": { "type": ["string", "null"] }, "accepted_at": { "type": ["string", "null"], "format": "date-time" }, "source_published_at": { "type": ["string", "null"], "format": "date-time" }, "official_filing_url": { "type": ["string", "null"], "format": "uri" }, "primary_document_url": { "type": ["string", "null"], "format": "uri" }, "is_amendment": { "type": "boolean" }, "publication_status": { "type": ["string", "null"] }, "parser_warnings": { "type": "array", "items": {} }, "holding_parser_warning_summary": { "type": "array", "items": { "type": "object", "required": ["code", "count"], "properties": { "code": { "type": "string" }, "count": { "type": ["integer", "string"] } }, "additionalProperties": false } }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "FilingManagerAsFiled": { "type": "object", "properties": { "name_as_filed": { "type": ["string", "null"] }, "cik": { "type": ["string", "null"] }, "cik_as_filed": { "type": ["string", "null"] }, "crd_as_filed": { "type": ["string", "null"] }, "form_13f_file_number_as_filed": { "type": ["string", "null"] }, "sec_file_number_as_filed": { "type": ["string", "null"] }, "address": { "type": ["object", "null"], "properties": { "street1_as_filed": { "type": ["string", "null"] }, "street2_as_filed": { "type": ["string", "null"] }, "city_as_filed": { "type": ["string", "null"] }, "state_or_country_as_filed": { "type": ["string", "null"] }, "zip_code_as_filed": { "type": ["string", "null"] } }, "additionalProperties": true } }, "additionalProperties": true }, "FilingSignatureAsFiled": { "type": "object", "properties": { "parser_name": { "type": ["string", "null"] }, "parser_version": { "type": ["string", "null"] }, "accession_number": { "type": ["string", "null"] }, "accession_number_as_filed": { "type": ["string", "null"] }, "name_as_filed": { "type": ["string", "null"] }, "title_as_filed": { "type": ["string", "null"] }, "phone_as_filed": { "type": ["string", "null"] }, "city_as_filed": { "type": ["string", "null"] }, "state_or_country_as_filed": { "type": ["string", "null"] }, "signature_as_filed": { "type": ["string", "null"] }, "signature_date": { "type": ["string", "null"] }, "warnings": { "type": "array", "items": { "$ref": "#/components/schemas/ParserWarning" } } }, "additionalProperties": true }, "ParserWarning": { "type": "object", "properties": { "code": { "type": "string" }, "message": { "type": ["string", "null"] }, "severity": { "type": ["string", "null"] }, "field": { "type": ["string", "null"] } }, "additionalProperties": true }, "AdvWithdrawalContractAssignment": { "type": "object", "properties": { "assignee_name": { "type": ["string", "null"] }, "city": { "type": ["string", "null"] }, "state": { "type": ["string", "null"] }, "country": { "type": ["string", "null"] }, "phone_number": { "type": ["string", "null"] } }, "additionalProperties": true }, "AdvWithdrawalBooksAndRecords": { "type": "object", "properties": { "custodian_name": { "type": ["string", "null"] }, "custodian_city": { "type": ["string", "null"] }, "custodian_state": { "type": ["string", "null"] }, "location_name": { "type": ["string", "null"] }, "location_city": { "type": ["string", "null"] }, "location_state": { "type": ["string", "null"] }, "description": { "type": ["string", "null"] } }, "additionalProperties": true }, "AdvWithdrawalFinancialStatement": { "type": "object", "properties": { "assets_cash_usd": { "type": ["string", "number", "null"] }, "assets_securities_at_market_usd": { "type": ["string", "number", "null"] }, "assets_total_usd": { "type": ["string", "number", "null"] }, "liabilities_total_current_usd": { "type": ["string", "number", "null"] }, "liabilities_total_fixed_usd": { "type": ["string", "number", "null"] }, "total_shareholder_equity_usd": { "type": ["string", "number", "null"] }, "total_liabilities_and_equity_usd": { "type": ["string", "number", "null"] } }, "additionalProperties": true }, "AdvWithdrawal": { "type": "object", "properties": { "id": { "type": "string", "format": "uuid" }, "crd_number": { "type": ["string", "null"] }, "sec_file_number": { "type": ["string", "null"] }, "filing_type_reported": { "type": ["string", "null"] }, "full_legal_name": { "type": ["string", "null"] }, "primary_business_name": { "type": ["string", "null"] }, "business_ceased": { "type": ["boolean", "null"] }, "business_ceased_date": { "type": ["string", "null"] }, "withdrawal_reason": { "type": ["string", "null"] }, "custody_of_client_assets": { "type": ["boolean", "null"] }, "custody_client_count": { "type": ["integer", "string", "null"] }, "custody_cash_amount_usd": { "type": ["string", "number", "null"] }, "custody_securities_market_value_usd": { "type": ["string", "number", "null"] }, "custody_other_assets_market_value_usd": { "type": ["string", "number", "null"] }, "money_owed_to_clients": { "type": ["boolean", "null"] }, "prepaid_fees_owed_usd": { "type": ["string", "number", "null"] }, "borrowed_funds_owed_usd": { "type": ["string", "number", "null"] }, "advisory_contracts_assigned": { "type": ["boolean", "null"] }, "client_consent_obtained": { "type": ["boolean", "null"] }, "unsatisfied_judgments_or_liens": { "type": ["boolean", "null"] }, "signature_date": { "type": ["string", "null"] }, "signature_name": { "type": ["string", "null"] }, "signature_title": { "type": ["string", "null"] }, "schema_map_version": { "type": ["string", "null"] }, "contract_assignments": { "type": "array", "items": { "$ref": "#/components/schemas/AdvWithdrawalContractAssignment" } }, "books_and_records": { "type": "array", "items": { "$ref": "#/components/schemas/AdvWithdrawalBooksAndRecords" } }, "financial_statement": { "oneOf": [ { "$ref": "#/components/schemas/AdvWithdrawalFinancialStatement" }, { "type": "null" } ] } }, "additionalProperties": true }, "FilingDetail": { "allOf": [ { "$ref": "#/components/schemas/Filing" }, { "type": "object", "properties": { "report_id": { "type": ["string", "null"], "format": "uuid" }, "report_type": { "type": ["string", "null"] }, "amendment_number": { "type": ["integer", "string", "null"] }, "amendment_type": { "type": ["string", "null"] }, "amendment_reason": { "type": ["string", "null"] }, "confidential_treatment": { "type": ["boolean", "null"] }, "reported_entry_total": { "type": ["integer", "string", "null"] }, "reported_table_value_usd": { "type": ["string", "number", "null"] }, "quality_status": { "type": ["string", "null"] }, "filing_manager_as_filed": { "oneOf": [ { "$ref": "#/components/schemas/FilingManagerAsFiled" }, { "type": "null" } ] }, "signature_as_filed": { "oneOf": [ { "$ref": "#/components/schemas/FilingSignatureAsFiled" }, { "type": "null" } ] }, "other_managers": { "type": "array", "items": { "$ref": "#/components/schemas/Form13FOtherManager" } }, "adv_withdrawal": { "oneOf": [ { "$ref": "#/components/schemas/AdvWithdrawal" }, { "type": "null" } ] }, "adv_documents": { "type": "array", "items": { "$ref": "#/components/schemas/AdvDocument" } }, "parser_warnings": { "type": "array", "items": { "$ref": "#/components/schemas/ParserWarning" } }, "holding_parser_warning_summary": { "type": "array", "items": { "type": "object", "required": ["code", "count"], "properties": { "code": { "type": "string" }, "count": { "type": ["integer", "string"] } }, "additionalProperties": false } } }, "additionalProperties": true } ] }, "Holding": { "type": "object", "required": [ "id", "filing_id", "report_period", "issuer_name_as_filed", "provenance" ], "properties": { "id": { "type": "string", "format": "uuid" }, "filing_id": { "type": "string", "format": "uuid" }, "manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Canonical public manager UUID after reviewed entity-resolution applications." }, "source_manager_id": { "type": ["string", "null"], "format": "uuid", "description": "Native reporting-manager organization UUID attached to this source record." }, "security_id": { "type": ["string", "null"], "format": "uuid" }, "report_period": { "$ref": "#/components/schemas/Date" }, "cusip": { "type": ["string", "null"] }, "cusip_as_filed": { "type": ["string", "null"] }, "figi_as_filed": { "type": ["string", "null"] }, "ticker": { "type": ["string", "null"] }, "issuer_name_as_filed": { "type": "string" }, "reported_value_usd": { "type": ["string", "number", "null"] }, "change_type": { "type": ["string", "null"] }, "list_validation_status": { "type": ["string", "null"] }, "position_change": { "type": ["object", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "ComparisonSource": { "type": "object", "required": [ "source", "source_record_id", "report_id", "filing_id", "source_url", "report_period" ], "properties": { "source": { "type": "string" }, "source_record_id": { "type": "string" }, "report_id": { "type": "string", "format": "uuid" }, "filing_id": { "type": "string", "format": "uuid" }, "artifact_id": { "type": ["string", "null"], "format": "uuid" }, "source_url": { "type": "string", "format": "uri" }, "report_period": { "$ref": "#/components/schemas/Date" }, "filed_at": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "retrieved_at": { "type": ["string", "null"], "format": "date-time" }, "parser_version": { "type": ["string", "null"] } }, "additionalProperties": false }, "ComparisonSources": { "type": "object", "required": ["previous", "current"], "properties": { "previous": { "oneOf": [ { "$ref": "#/components/schemas/ComparisonSource" }, { "type": "null" } ] }, "current": { "oneOf": [ { "$ref": "#/components/schemas/ComparisonSource" }, { "type": "null" } ] } }, "additionalProperties": false }, "ComparisonMetadata": { "type": "object", "required": [ "manager_id", "requested_manager_id", "current_period", "previous_period", "calculation_version", "withheld", "withheld_reasons", "warning_flags", "warning", "sources" ], "properties": { "manager_id": { "type": "string", "format": "uuid" }, "requested_manager_id": { "type": "string", "format": "uuid" }, "current_period": { "$ref": "#/components/schemas/Date" }, "previous_period": { "$ref": "#/components/schemas/Date" }, "security_id": { "type": ["string", "null"], "format": "uuid" }, "calculation_version": { "type": "string" }, "withheld": { "type": "boolean" }, "withheld_reasons": { "type": "array", "items": { "type": "string" } }, "warning_flags": { "type": "array", "items": { "type": "string" } }, "warning": { "type": "string" }, "sources": { "$ref": "#/components/schemas/ComparisonSources" } }, "additionalProperties": false }, "ComparisonProvenance": { "type": "object", "required": ["calculation_version", "previous", "current"], "properties": { "calculation_version": { "type": "string" }, "previous": { "$ref": "#/components/schemas/ComparisonSource" }, "current": { "$ref": "#/components/schemas/ComparisonSource" } }, "additionalProperties": false }, "Comparison": { "type": "object", "required": [ "position_key", "change_type", "warning_flags", "identifier_change", "previous_filing_id", "current_filing_id", "previous_official_filing_url", "current_official_filing_url", "provenance" ], "properties": { "position_key": { "type": "string" }, "cusip": { "type": ["string", "null"] }, "issuer_name": { "type": ["string", "null"] }, "issuer_name_as_filed": { "type": ["string", "null"] }, "change_type": { "type": "string", "enum": ["new", "increased", "decreased", "exited", "unchanged"] }, "warning_flags": { "type": "array", "items": { "type": "string", "enum": ["identifier_change"] } }, "identifier_change": { "oneOf": [ { "type": "object", "required": [ "security_id", "previous_cusip", "current_cusip", "match_basis" ], "properties": { "security_id": { "type": "string", "format": "uuid" }, "previous_cusip": { "type": "string" }, "current_cusip": { "type": "string" }, "match_basis": { "type": "string", "enum": [ "one_to_one_resolved_security_and_position_context" ] } }, "additionalProperties": false }, { "type": "null" } ] }, "previous_value_usd": { "type": ["string", "number", "null"] }, "current_value_usd": { "type": ["string", "number", "null"] }, "previous_reported_value_usd": { "type": ["string", "number", "null"] }, "current_reported_value_usd": { "type": ["string", "number", "null"] }, "previous_filing_id": { "type": "string", "format": "uuid" }, "current_filing_id": { "type": "string", "format": "uuid" }, "previous_official_filing_url": { "type": "string", "format": "uri" }, "current_official_filing_url": { "type": "string", "format": "uri" }, "provenance": { "$ref": "#/components/schemas/ComparisonProvenance" } }, "additionalProperties": true }, "SecurityIdentifier": { "type": "object", "required": ["namespace", "value", "provenance"], "properties": { "namespace": { "type": "string", "enum": ["cusip", "figi", "ticker"] }, "value": { "type": "string" }, "exchange_mic": { "type": ["string", "null"] }, "effective_from": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "effective_to": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "match_method": { "type": ["string", "null"] }, "confidence": { "type": ["number", "string", "null"] }, "provenance": { "$ref": "#/components/schemas/Provenance" } } }, "Security": { "type": "object", "required": ["id", "provenance"], "properties": { "id": { "type": "string", "format": "uuid" }, "canonical_name": { "type": ["string", "null"] }, "display_name": { "type": ["string", "null"] }, "canonical_display_name": { "type": ["string", "null"] }, "instrument_type": { "type": ["string", "null"] }, "security_type": { "type": ["string", "null"] }, "lifecycle_status": { "type": ["string", "null"] }, "primary_ticker": { "type": ["string", "null"] }, "identifiers": { "type": "array", "items": { "$ref": "#/components/schemas/SecurityIdentifier" } }, "latest_report_period": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "latest_observed_at": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "as_filed_names": { "type": "array", "items": { "$ref": "#/components/schemas/SecurityAsFiledName" } }, "official_list_history": { "type": "array", "items": { "type": "object", "required": [ "effective_quarter_end", "cusip_as_filed", "source_url" ], "properties": { "effective_quarter_end": { "$ref": "#/components/schemas/Date" }, "cusip_as_filed": { "type": "string" }, "issuer_name_as_filed": { "type": ["string", "null"] }, "issuer_description_as_filed": { "type": ["string", "null"] }, "has_listed_option": { "type": ["boolean", "null"] }, "list_status": { "type": ["string", "null"] }, "source_url": { "type": "string", "format": "uri" } }, "additionalProperties": false } }, "provenance": { "$ref": "#/components/schemas/Provenance" } }, "additionalProperties": true }, "SecuritySearchResult": { "type": "object", "required": [ "id", "canonical_name", "canonical_display_name", "instrument_type", "security_type", "lifecycle_status", "first_observed_date", "last_observed_date", "latest_observed_at", "primary_ticker", "identifiers", "latest_report_period", "provenance", "match_score" ], "properties": { "id": { "type": "string", "format": "uuid" }, "canonical_name": { "type": "string" }, "canonical_display_name": { "type": "string" }, "instrument_type": { "type": ["string", "null"] }, "security_type": { "type": ["string", "null"] }, "lifecycle_status": { "type": "string", "enum": ["observed", "active", "inactive", "unknown"] }, "first_observed_date": { "$ref": "#/components/schemas/Date" }, "last_observed_date": { "$ref": "#/components/schemas/Date" }, "latest_observed_at": { "$ref": "#/components/schemas/Date" }, "primary_ticker": { "type": ["string", "null"] }, "identifiers": { "type": "array", "items": { "$ref": "#/components/schemas/SecurityIdentifier" } }, "latest_report_period": { "oneOf": [ { "$ref": "#/components/schemas/Date" }, { "type": "null" } ] }, "provenance": { "$ref": "#/components/schemas/Provenance" }, "match_score": { "type": "integer", "minimum": 0 } }, "additionalProperties": false }, "DatasetLaneStatus": { "type": "object", "required": [ "code", "label", "freshness_status", "source_native_cadence", "target_freshness", "latest_successful_source_check", "latest_successful_ingestion", "latest_source_published_at", "earliest_report_date", "latest_report_date", "coverage_validated", "record_counts", "coverage_gap" ], "properties": { "code": { "type": "string" }, "label": { "type": "string" }, "freshness_status": { "type": "string", "enum": [ "current", "stale", "degraded", "never_succeeded", "pending" ] }, "source_native_cadence": { "type": "string" }, "target_freshness": { "type": "string" }, "latest_successful_source_check": { "type": ["string", "null"] }, "latest_successful_ingestion": { "type": ["string", "null"] }, "latest_source_published_at": { "type": ["string", "null"] }, "earliest_report_date": { "type": ["string", "null"] }, "latest_report_date": { "type": ["string", "null"] }, "coverage_validated": { "type": "boolean" }, "record_counts": { "type": ["object", "null"], "additionalProperties": { "type": ["integer", "string"] } }, "coverage_snapshot_stale": { "type": "boolean" }, "coverage_gap": { "type": ["string", "null"] }, "known_gap": { "type": ["string", "null"] } }, "additionalProperties": true }, "SourceStatus": { "type": "object", "required": ["code", "freshness_status", "coverage_validated", "lanes"], "properties": { "code": { "type": "string" }, "freshness_status": { "type": "string", "enum": ["current", "stale", "degraded", "never_succeeded"] }, "coverage_validated": { "type": "boolean" }, "latest_retrieved_at": { "type": ["string", "null"] }, "latest_source_published_at": { "type": ["string", "null"] }, "earliest_report_date": { "type": ["string", "null"] }, "latest_report_date": { "type": ["string", "null"] }, "coverage": { "type": ["object", "null"] }, "lanes": { "type": "array", "items": { "$ref": "#/components/schemas/DatasetLaneStatus" } }, "known_gap": { "type": ["string", "null"] }, "known_limitations": { "type": "array", "items": { "type": "string" } } }, "additionalProperties": true }, "PageBase": { "type": "object", "required": ["data", "meta", "links"], "properties": { "meta": { "$ref": "#/components/schemas/Meta" }, "links": { "$ref": "#/components/schemas/Links" } } }, "ManagerPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/Manager" } } } } ] }, "FilingPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/Filing" } } } } ] }, "HoldingPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/Holding" } } } } ] }, "ComparisonPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/Comparison" } } } } ] }, "SecurityPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/Security" } } } } ] }, "SecuritySearchPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/SecuritySearchResult" } } } } ] }, "SourceStatusPage": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "type": "array", "items": { "$ref": "#/components/schemas/SourceStatus" } } } } ] }, "ManagerDetailEnvelope": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "$ref": "#/components/schemas/ManagerDetail" } } } ] }, "FilingDetailEnvelope": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "$ref": "#/components/schemas/FilingDetail" } } } ] }, "SecurityDetailEnvelope": { "allOf": [ { "$ref": "#/components/schemas/PageBase" }, { "type": "object", "properties": { "data": { "$ref": "#/components/schemas/Security" } } } ] }, "ErrorEnvelope": { "type": "object", "required": ["data", "error", "meta", "links"], "properties": { "data": { "type": "null" }, "error": { "type": "object", "required": ["code", "message"], "properties": { "code": { "type": "string" }, "message": { "type": "string" }, "details": {} } }, "meta": { "$ref": "#/components/schemas/Meta" }, "links": { "$ref": "#/components/schemas/Links" } } } }, "headers": { "XAumSearchSnapshotSource": { "description": "Whether the response came from the live database read model or the bundled fallback snapshot.", "schema": { "type": "string", "enum": ["database", "fallback"] } }, "ETag": { "description": "Stable validator for the exact response representation.", "schema": { "type": "string" } }, "XAumSearchDataVersion": { "description": "Opaque version identifier for the response data.", "schema": { "type": "string", "pattern": "^[a-f0-9]{16}$" } }, "XRateLimitLimit": { "description": "Request limit for the active window.", "schema": { "type": "integer", "minimum": 0 } }, "XRateLimitRemaining": { "description": "Requests remaining in the active window.", "schema": { "type": "integer", "minimum": 0 } }, "XRateLimitReset": { "description": "Unix timestamp when the active rate-limit window resets.", "schema": { "type": "integer", "minimum": 0 } }, "RetryAfter": { "description": "Seconds before a rate-limited request should be retried.", "schema": { "type": "integer", "minimum": 0 } }, "WWWAuthenticate": { "description": "Bearer challenge returned when authentication is required or rejected.", "schema": { "type": "string", "example": "Bearer realm=\"aumsearch\", charset=\"UTF-8\"" } } } } }