SEC ADV
Open source ↗firmua-headerquarterly
The SEC's quarterly bulk file of every registered investment adviser's Form ADV Part 1A. This is the closest thing the industry has to a master list of all RIAs — their AUM, employee counts, client mix, fee structures, services, custody arrangements, disciplinary history, and office locations all come from here.
Fields it produces (26)
legal_namedba_namessec_file_numberaum_usdaum_bandemployee_count_totalemployee_count_advisoryclient_count_bandprimary_office_stateprimary_office_zipprimary_office_citylatest_adv_filingservices_offeredfee_basiswebsite_urldisciplinary_disclosures_firmdisciplinary_disclosures_breakdownclient_type_mixfee_scheduleretirement_plan_booksolo_advisor_indicatormailing_office_differsfirm_has_custodytrust_company_affiliatechief_compliance_officercontrol_persons
What this source actually pulls
6 examplesPFS INVESTMENTS INC.
23 fieldsfirm · 10111 · DULUTH, GA
aum band
$1B+
aum usd
15,536,099,534
client count band
0
client type mix
4 fields
dba names
PRIMERICA ADVISORS
disciplinary disclosures firm
8
employee count advisory
3,959
employee count total
3,992
fee basis
percentage_of_aum
fee schedule
12 fields
firm has custody
Yes
latest adv filing
03/20/2026
legal name
PFS INVESTMENTS INC.
mailing office differs
No
primary office city
DULUTH
primary office state
GA
primary office zip
30099-0001
retirement plan book
No
sec file number
801-72263
services offered
portfolio_management_individuals
solo advisor indicator
No
trust company affiliate
No
website url
https://www.youtube.com/user/primerica
FINANCIAL ENGINES ADVISORS L.L.C.
23 fieldsfirm · 104510 · SANTA CLARA, CA
aum band
$1B+
aum usd
326,285,243,393
client count band
322130
client type mix
6 fields
dba names
EDELMAN FINANCIAL ENGINES
disciplinary disclosures firm
0
employee count advisory
553
employee count total
1,679
fee basis
percentage_of_aum, hourly_charges, subscription_fees, fixed_fees, other_compensation
fee schedule
12 fields
firm has custody
Yes
latest adv filing
03/31/2026
legal name
FINANCIAL ENGINES ADVISORS L.L.C.
mailing office differs
No
primary office city
SANTA CLARA
primary office state
CA
primary office zip
95054
retirement plan book
Yes
sec file number
801-55196
services offered
7 items
solo advisor indicator
No
trust company affiliate
No
website url
https://www.indeed.com/cmp/Edelman-Financial-Engines
JANUS HENDERSON INVESTORS US LLC
23 fieldsfirm · 104652 · DENVER, CO
aum band
$1B+
aum usd
380,428,751,746
client count band
41
client type mix
8 fields
dba names
JANUS HENDERSON INVESTORS
disciplinary disclosures firm
4
employee count advisory
152
employee count total
1,013
fee basis
percentage_of_aum, performance_based_fees
fee schedule
12 fields
firm has custody
Yes
latest adv filing
04/16/2026
legal name
JANUS HENDERSON INVESTORS US LLC
mailing office differs
No
primary office city
DENVER
primary office state
CO
primary office zip
80206
retirement plan book
Yes
sec file number
801-13991
services offered
portfolio_management_individuals, portfolio_management_investment_companies, portfolio_management_pooled_investment_vehicles, portfolio_management_businesses, selection_of_other_advisers, other_advisory_services
solo advisor indicator
No
trust company affiliate
Yes
website url
https://bsky.app/profile/janus-henderson.bsky.social
WCM INVESTMENT MANAGEMENT, LLC
23 fieldsfirm · 104702 · LAGUNA BEACH, CA
aum band
$1B+
aum usd
96,772,599,352
client count band
28
client type mix
10 fields
dba names
WCM INVESTMENT MANAGEMENT
disciplinary disclosures firm
0
employee count advisory
44
employee count total
102
fee basis
percentage_of_aum, performance_based_fees
fee schedule
12 fields
firm has custody
Yes
latest adv filing
03/12/2026
legal name
WCM INVESTMENT MANAGEMENT, LLC
mailing office differs
No
primary office city
LAGUNA BEACH
primary office state
CA
primary office zip
92651-2974
retirement plan book
Yes
sec file number
801-11916
services offered
portfolio_management_individuals, portfolio_management_investment_companies, portfolio_management_pooled_investment_vehicles, portfolio_management_businesses, other_advisory_services
solo advisor indicator
No
trust company affiliate
No
website url
https://www.linkedin.com/company/wcm-investment-management
CHARTIST INC
23 fieldsfirm · 105072 · LONG BEACH, CA
aum band
$100M-$500M
aum usd
169,706,684
client count band
426
client type mix
individuals_other: 426
dba names
THE CHARTIST
disciplinary disclosures firm
0
employee count advisory
3
employee count total
3
fee basis
percentage_of_aum, subscription_fees
fee schedule
12 fields
firm has custody
No
latest adv filing
01/05/2026
legal name
CHARTIST INC
mailing office differs
Yes
primary office city
LONG BEACH
primary office state
CA
primary office zip
90803
retirement plan book
No
sec file number
801-11714
services offered
portfolio_management_individuals, publication_of_periodicals
solo advisor indicator
No
trust company affiliate
No
website url
HTTP://WWW.THECHARTIST.COM
ALAN D BILLER & ASSOCIATES, INC.
23 fieldsfirm · 105283 · MENLO PARK, CA
aum band
$1B+
aum usd
65,069,635,580
client count band
93
client type mix
pension_profit_sharing_plans: 25 · charitable_organizations: 1 · other: 25
dba names
ALAN BILLER AND ASSOCIATES
disciplinary disclosures firm
0
employee count advisory
24
employee count total
51
fee basis
percentage_of_aum, hourly_charges, fixed_fees, other_compensation
fee schedule
12 fields
firm has custody
No
latest adv filing
01/26/2026
legal name
ALAN D BILLER & ASSOCIATES, INC.
mailing office differs
No
primary office city
MENLO PARK
primary office state
CA
primary office zip
94025
retirement plan book
Yes
sec file number
801-48432
services offered
pension_consulting, selection_of_other_advisers
solo advisor indicator
No
trust company affiliate
No
website url
HTTP://WWW.ALANBILLER.COM