curl -X POST https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration \
-H "Content-Type: application/json" \
-H "payment-signature: <base64 x402 payment>" \
-d '{
"crd": 149117
}'
const response = await fetch("https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration", {
method: "POST",
headers: {
"Content-Type": "application/json",
"payment-signature": paymentProof,
},
body: JSON.stringify({
"crd": 149117
}),
});
const result = await agent.tool('lookup/company-adviser-registration', {
crd: 149117
});
console.log(result.result);
console.log(result.evidence);
{
"success": true,
"data": {
"request_id": "uuid",
"receipt_id": "rcpt_...",
"status": "completed",
"tool": "company_adviser_registration",
"result": {
"total": 1,
"matches": [],
"profile": {
"crd": 149117,
"name": "BETTERMENT",
"other_names": [
"BETTERMENT",
"BETTERMENT LLC (NEW LEGAL NAME)",
"BETTERMENT LLC",
"BETTERMENT ADIVSORS LLC"
],
"adviser_status": "active",
"sec_file_number": "801-70171",
"has_disclosures": true,
"branch_count": 8,
"city": "NEW YORK",
"state": "NY",
"country": "United States",
"sec_registered": true,
"state_registered": false,
"exempt_reporting_adviser": false,
"registrations": [
{
"jurisdiction": "SEC",
"status": "Approved",
"effective_on": "2009-05-21"
}
],
"exempt_reporting": [],
"notice_filings": [
{
"jurisdiction": "Alabama",
"effective_on": "2011-02-18"
},
{
"jurisdiction": "Alaska",
"effective_on": "2011-03-31"
},
{
"jurisdiction": "Arizona",
"effective_on": "2010-05-28"
}
],
"latest_form_adv_filed_on": "2026-07-31",
"street": "450 WEST 33RD STREET",
"street2": "FLOOR 11",
"postal_code": "10001",
"register_url": "https://adviserinfo.sec.gov/firm/summary/149117"
}
},
"evidence": {
"source": "US Securities and Exchange Commission",
"source_kind": "public",
"retrieved_at": "2026-10-27T06:20:00.000Z",
"calls": [
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
},
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
}
],
"as_of": "2026-07-31"
}
}
}
Companies & finance
Adviser Registration
Look up whether a firm is a registered or exempt reporting investment adviser with the SEC or a state, its registrations and their dates, and its main office.
POST
/
v1
/
tools
/
lookup
/
company-adviser-registration
curl -X POST https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration \
-H "Content-Type: application/json" \
-H "payment-signature: <base64 x402 payment>" \
-d '{
"crd": 149117
}'
const response = await fetch("https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration", {
method: "POST",
headers: {
"Content-Type": "application/json",
"payment-signature": paymentProof,
},
body: JSON.stringify({
"crd": 149117
}),
});
const result = await agent.tool('lookup/company-adviser-registration', {
crd: 149117
});
console.log(result.result);
console.log(result.evidence);
{
"success": true,
"data": {
"request_id": "uuid",
"receipt_id": "rcpt_...",
"status": "completed",
"tool": "company_adviser_registration",
"result": {
"total": 1,
"matches": [],
"profile": {
"crd": 149117,
"name": "BETTERMENT",
"other_names": [
"BETTERMENT",
"BETTERMENT LLC (NEW LEGAL NAME)",
"BETTERMENT LLC",
"BETTERMENT ADIVSORS LLC"
],
"adviser_status": "active",
"sec_file_number": "801-70171",
"has_disclosures": true,
"branch_count": 8,
"city": "NEW YORK",
"state": "NY",
"country": "United States",
"sec_registered": true,
"state_registered": false,
"exempt_reporting_adviser": false,
"registrations": [
{
"jurisdiction": "SEC",
"status": "Approved",
"effective_on": "2009-05-21"
}
],
"exempt_reporting": [],
"notice_filings": [
{
"jurisdiction": "Alabama",
"effective_on": "2011-02-18"
},
{
"jurisdiction": "Alaska",
"effective_on": "2011-03-31"
},
{
"jurisdiction": "Arizona",
"effective_on": "2010-05-28"
}
],
"latest_form_adv_filed_on": "2026-07-31",
"street": "450 WEST 33RD STREET",
"street2": "FLOOR 11",
"postal_code": "10001",
"register_url": "https://adviserinfo.sec.gov/firm/summary/149117"
}
},
"evidence": {
"source": "US Securities and Exchange Commission",
"source_kind": "public",
"retrieved_at": "2026-10-27T06:20:00.000Z",
"calls": [
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
},
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
}
],
"as_of": "2026-07-31"
}
}
}
Returns investment adviser firms from the US Securities and Exchange Commission’s public disclosure register matching a CRD number or name: whether each is registered with the SEC or states or files as an exempt reporting adviser, each registration with its status and date, notice filings, SEC file number and main office. Broker-dealer registrations and individual representatives are not covered.
Authentication
Requires x402 payment in thepayment-signature header.
Request Body
integer
The firm’s CRD number, for example 149117. An exact match that returns the full profile. From 1 to 99999999.
string
The firm’s name, for example Betterment. A text match against current and former names and the SEC file number; returns a list to pick from. 2 to 100 characters.
integer
Most firms to return for a name; ignored with a CRD number. From 1 to 12. Defaults to
5.Response (200 OK)
Top-level envelope:success (boolean) and data (object). All fields below are nested under data.
string
Durable job ID for audit and lookup
string
Job status:
completedstring
Always
company_adviser_registrationobject
The answer, described under Result below
object
Where the answer came from and when
boolean
true when the answer was served from OneShot’s store of earlier lookups (or its own copy of a public dataset), false when the source was asked for this callstring
When the record was obtained from its source, as an ISO 8601 UTC time; equals
evidence.retrieved_atstring
The public body the data comes from. Always
US Securities and Exchange Commission.string
public when the data comes from a public body, commercial otherwisestring
When the lookup was made, as an ISO 8601 UTC time
string | null
The date of the firm’s most recent Form ADV, which the register says it displays, for a CRD lookup that found the firm; null for a name search.
Result
Nested underdata.result.
integer
How many register records matched; may be more than were returned.
object[]
Firms matching a name, best match first; empty for a CRD number.
integer
The firm’s CRD number; use it to call again for the full profile.
string | null
The firm’s current name as the register holds it.
null when the source gives no value.string[]
Former and other business names.
string
inactive means no longer registered or reporting; such firms stay listed for ten years.string | null
The SEC file number, 801- for a registered adviser or 802- for an exempt reporting adviser; null for a state-registered firm.
boolean | null
True when the firm’s Form ADV reports disciplinary or other disclosure events.
null when the source gives no value.integer | null
Number of branch offices the firm reports.
null when the source gives no value.string | null
City.
null when the source gives no value.string | null
Two-letter state code of the main office.
null when the source gives no value.string | null
Country.
null when the source gives no value.object | null
The firm with the given CRD number; null for a name, or when the number is not an investment adviser in the register.
integer
The firm’s CRD number; use it to call again for the full profile.
string | null
The firm’s current name as the register holds it.
null when the source gives no value.string[]
Former and other business names.
string
inactive means no longer registered or reporting; such firms stay listed for ten years.string | null
The SEC file number, 801- for a registered adviser or 802- for an exempt reporting adviser; null for a state-registered firm.
boolean | null
True when the firm’s Form ADV reports disciplinary or other disclosure events.
null when the source gives no value.integer | null
Number of branch offices the firm reports.
null when the source gives no value.string | null
City.
null when the source gives no value.string | null
Two-letter state code of the main office.
null when the source gives no value.string | null
Country.
null when the source gives no value.boolean
True when registered with the SEC.
boolean
True when registered with one or more states.
boolean
True when the firm files as an exempt reporting adviser rather than registering.
object[]
Each SEC or state registration with its status and effective date.
string | null
SEC or a state name. null when the source gives no value.string | null
The register’s status word, for example Approved or Terminated.
null when the source gives no value.string | null
YYYY-MM-DD.
null when the source gives no value.object[]
Each exempt reporting filing with the SEC or a state, in the same shape.
string | null
SEC or a state name. null when the source gives no value.string | null
The register’s status word, for example Approved or Terminated.
null when the source gives no value.string | null
YYYY-MM-DD.
null when the source gives no value.object[]
States where an SEC-registered adviser has notice filed.
string | null
The state where the SEC-registered adviser has notice filed.
null when the source gives no value.string | null
YYYY-MM-DD.
null when the source gives no value.string | null
Date of the most recent Form ADV the register displays, YYYY-MM-DD.
null when the source gives no value.string | null
Street.
null when the source gives no value.string | null
Street2.
null when the source gives no value.string | null
Postal code.
null when the source gives no value.string
The firm’s page on the public register.
curl -X POST https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration \
-H "Content-Type: application/json" \
-H "payment-signature: <base64 x402 payment>" \
-d '{
"crd": 149117
}'
const response = await fetch("https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration", {
method: "POST",
headers: {
"Content-Type": "application/json",
"payment-signature": paymentProof,
},
body: JSON.stringify({
"crd": 149117
}),
});
const result = await agent.tool('lookup/company-adviser-registration', {
crd: 149117
});
console.log(result.result);
console.log(result.evidence);
{
"success": true,
"data": {
"request_id": "uuid",
"receipt_id": "rcpt_...",
"status": "completed",
"tool": "company_adviser_registration",
"result": {
"total": 1,
"matches": [],
"profile": {
"crd": 149117,
"name": "BETTERMENT",
"other_names": [
"BETTERMENT",
"BETTERMENT LLC (NEW LEGAL NAME)",
"BETTERMENT LLC",
"BETTERMENT ADIVSORS LLC"
],
"adviser_status": "active",
"sec_file_number": "801-70171",
"has_disclosures": true,
"branch_count": 8,
"city": "NEW YORK",
"state": "NY",
"country": "United States",
"sec_registered": true,
"state_registered": false,
"exempt_reporting_adviser": false,
"registrations": [
{
"jurisdiction": "SEC",
"status": "Approved",
"effective_on": "2009-05-21"
}
],
"exempt_reporting": [],
"notice_filings": [
{
"jurisdiction": "Alabama",
"effective_on": "2011-02-18"
},
{
"jurisdiction": "Alaska",
"effective_on": "2011-03-31"
},
{
"jurisdiction": "Arizona",
"effective_on": "2010-05-28"
}
],
"latest_form_adv_filed_on": "2026-07-31",
"street": "450 WEST 33RD STREET",
"street2": "FLOOR 11",
"postal_code": "10001",
"register_url": "https://adviserinfo.sec.gov/firm/summary/149117"
}
},
"evidence": {
"source": "US Securities and Exchange Commission",
"source_kind": "public",
"retrieved_at": "2026-10-27T06:20:00.000Z",
"calls": [
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
},
{
"retrieved_at": "2026-10-27T06:20:00.000Z"
}
],
"as_of": "2026-07-31"
}
}
}
See Pricing for this tool’s price. A wallet (x402) call receives it in the 402 quote before anything is charged; a call paid from prepaid credits is charged when the API accepts the request and answers
200.Notes
- Give exactly one of
crdandname. - A CRD number returns
profile, the firm’s full record, withtotal1;profileis null andtotal0 when the number is not an investment adviser in the register. A name returnsmatches, a list of firms to pick from, best match first, each with the CRD number to call again with;profileis then null. - A name is a text match against current and former names and the SEC file number, so similarly named firms come back too.
totalcounts every register record that matched, including firms registered only as broker-dealers, which are not returned. adviser_statusisinactivefor a firm no longer registered or reporting; the register keeps such firms for ten years.registrationslists each SEC or state registration with its status word (Approved,Terminated) and effective date;exempt_reportinglists exempt reporting filings;notice_filingslists the states an SEC-registered adviser has notice filed in.- Assets under management, brochures, individual representatives and broker-dealer data are not returned. Dates are YYYY-MM-DD; a date the register writes in an unreadable form is null.
- Results return inline. The finished job stays available at
/v1/requests/{request_id}