sec-adv

SEC Investment Adviser Public Disclosure (Form ADV) lookup: firm search, firm profile by CRD, individual search.

Part of Pipeworx — an MCP gateway connecting AI agents to 1866+ live data sources. This is an independent, unofficial integration — not affiliated with, endorsed by, or published by the upstream provider.

adv_firm_profile also returns regulatory_aum, the firm's Form ADV Part 1A Item 5.F figures: discretionary, non-discretionary and total regulatory assets under management (USD), account counts, and AUM attributable to non-US-person clients, each with the filing date and the dataset's data_as_of.

Sources

• U.S. Securities and Exchange Commission, Investment Adviser Public Disclosure directory (live, per request).
• U.S. Securities and Exchange Commission, Division of Investment Management, Information About Registered Investment Advisers (monthly release; US federal data, public domain). Refreshed monthly by scripts/bake-sec-adv-aum.mjs; covers SEC-registered advisers only (state-registered and exempt reporting advisers have no row, and regulatory_aum.available is false with the reason).

Quick Start

Add to your MCP client (Claude Desktop, Cursor, Windsurf, etc.):

{
  "mcpServers": {
    "sec-adv": {
      "url": "https://gateway.pipeworx.io/sec-adv/mcp"
    }
  }
}

What this endpoint actually serves

tools/list at https://gateway.pipeworx.io/sec-adv/mcp returns the tools in the table above plus the shared Pipeworx meta-tools — ask_pipeworx, discover_tools, search_within, remember/recall and the rest of the gateway-wide set. So the tool count you see is larger than this table: a single-pack endpoint currently lists roughly 30 shared tools alongside the pack's own. The connection's initialize response states its exact scope, and is the authoritative answer for a given day.

This is deliberate, not multiplexing by accident. The meta-tools are what let a scoped connection answer a question this pack does not cover — via ask_pipeworx, which routes across the whole catalog — without you adding a second MCP server. There is currently no way to mount a pack endpoint without them; if the extra schemas cost you more context than the routing is worth, connect to the full gateway once rather than to several pack endpoints.

Or connect to the full Pipeworx gateway to get every pack's tools listed directly, instead of just this one's:

{
  "mcpServers": {
    "pipeworx": {
      "url": "https://gateway.pipeworx.io/mcp"
    }
  }
}

Both URLs reach the same gateway and the same 1866+ data sources. The only difference is which pack's tools are listed directly; ask_pipeworx reaches all of them from either one.

No MCP client? Call it over HTTP

curl -X POST https://gateway.pipeworx.io/v1/tools/adv_search_firm \
  -H 'Content-Type: application/json' \
  -d '{"query":"BlackRock"}'

No account needed for the first calls. Inspect any tool: GET https://gateway.pipeworx.io/v1/tools/adv_search_firm. Find one: POST https://gateway.pipeworx.io/v1/tools/search_packs with {"query":"..."}.

Run it from npm

@pipeworx/mcp-sec-adv is a local stdio bridge to the Pipeworx gateway: your MCP client starts it with npx, and it forwards every call to the same https://gateway.pipeworx.io/sec-adv/mcp endpoint shown above. It needs network access; there is no offline mode.

{
  "mcpServers": {
    "sec-adv": {
      "command": "npx",
      "args": ["-y", "@pipeworx/mcp-sec-adv"]
    }
  }
}

Without a key it calls anonymously, capped at 50 calls a day. A free account raises that to 200 a day: get a key at https://pipeworx.io/signup and add "env": { "PIPEWORX_API_KEY": "<your key>" } to the server entry. The key is sent as a Bearer token, the same way a hosted connection sends it, so calls are metered and billed exactly as they are there.

It lists only this pack's tools by default. Set `PIP

... View full README on GitHub