adviser_individuals

Search SEC adviser individuals, with one row per current employer.

Examples

from openbb import obb
obb.sec.adviser_individuals(query='john smith', provider='sec')

Parameters

• standard
• sec

query: str
Firm or individual name or CRD number to search for.

limit: int | None
Default: 20
Maximum number of matching firms or individuals to return.

use_cache: bool | None
Default: True
Whether to use cached SEC responses.

---

Returns

results: SecAdviserIndividuals

Serializable results.

provider: str | None

Provider name.

warnings: Optional[list[Warning_]]

List of warnings.

chart: Optional[Chart]

Chart object.

extra: dict[str, Any]

Extra info.

---

Data

• standard
• sec

crd: str
Central Registration Depository (CRD) number.

first_name: str
First name.

middle_name: str | None
Middle name.

last_name: str
Last name.

suffix: str | None
Name suffix.

status: str
Investment adviser registration status.

broker_dealer_status: str | None
Broker-dealer registration status.

industry_start_date: date | None
Date the individual entered the securities industry.

industry_days: int | None
Number of securities-industry days reported by IAPD.

employment_count: int | None
Number of employments reported by IAPD.

finra_registration_count: int | None
Number of approved FINRA registrations.

current_firm_crd: str | None
CRD number of a current employer.

current_firm_name: str | None
Name of a current employer.

current_firm_ia_sec_number: str | None
Investment adviser SEC number of the current employer.

current_firm_bd_sec_number: str | None
Broker-dealer SEC number of the current employer.