> ## Documentation Index
> Fetch the complete documentation index at: https://docs.oneshotagent.com/llms.txt
> Use this file to discover all available pages before exploring further.
# 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.
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 the `payment-signature` header.
## Request Body
**crd** `integer`
The firm's CRD number, for example 149117. An exact match that returns the full profile. From 1 to 99999999.
**name** `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.
**limit** `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`.
**data.request\_id** `string`
Durable job ID for audit and lookup
**data.status** `string`
Job status: `completed`
**data.tool** `string`
Always `company_adviser_registration`
**data.result** `object`
The answer, described under Result below
**data.evidence** `object`
Where the answer came from and when
**data.cached** `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 call
**data.fetched\_at** `string`
When the record was obtained from its source, as an ISO 8601 UTC time; equals `evidence.retrieved_at`
**data.evidence.source** `string`
The public body the data comes from. Always `US Securities and Exchange Commission`.
**data.evidence.source\_kind** `string`
`public` when the data comes from a public body, `commercial` otherwise
**data.evidence.retrieved\_at** `string`
When the lookup was made, as an ISO 8601 UTC time
**data.evidence.as\_of** `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 under `data.result`.
**data.result.total** `integer`
How many register records matched; may be more than were returned.
**data.result.matches** `object[]`
Firms matching a name, best match first; empty for a CRD number.
**data.result.matches\[].crd** `integer`
The firm's CRD number; use it to call again for the full profile.
**data.result.matches\[].name** `string | null`
The firm's current name as the register holds it. `null` when the source gives no value.
**data.result.matches\[].other\_names** `string[]`
Former and other business names.
**data.result.matches\[].adviser\_status** `string`
`inactive` means no longer registered or reporting; such firms stay listed for ten years.
**data.result.matches\[].sec\_file\_number** `string | null`
The SEC file number, 801- for a registered adviser or 802- for an exempt reporting adviser; null for a state-registered firm.
**data.result.matches\[].has\_disclosures** `boolean | null`
True when the firm's Form ADV reports disciplinary or other disclosure events. `null` when the source gives no value.
**data.result.matches\[].branch\_count** `integer | null`
Number of branch offices the firm reports. `null` when the source gives no value.
**data.result.matches\[].city** `string | null`
City. `null` when the source gives no value.
**data.result.matches\[].state** `string | null`
Two-letter state code of the main office. `null` when the source gives no value.
**data.result.matches\[].country** `string | null`
Country. `null` when the source gives no value.
**data.result.profile** `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.
**data.result.profile.crd** `integer`
The firm's CRD number; use it to call again for the full profile.
**data.result.profile.name** `string | null`
The firm's current name as the register holds it. `null` when the source gives no value.
**data.result.profile.other\_names** `string[]`
Former and other business names.
**data.result.profile.adviser\_status** `string`
`inactive` means no longer registered or reporting; such firms stay listed for ten years.
**data.result.profile.sec\_file\_number** `string | null`
The SEC file number, 801- for a registered adviser or 802- for an exempt reporting adviser; null for a state-registered firm.
**data.result.profile.has\_disclosures** `boolean | null`
True when the firm's Form ADV reports disciplinary or other disclosure events. `null` when the source gives no value.
**data.result.profile.branch\_count** `integer | null`
Number of branch offices the firm reports. `null` when the source gives no value.
**data.result.profile.city** `string | null`
City. `null` when the source gives no value.
**data.result.profile.state** `string | null`
Two-letter state code of the main office. `null` when the source gives no value.
**data.result.profile.country** `string | null`
Country. `null` when the source gives no value.
**data.result.profile.sec\_registered** `boolean`
True when registered with the SEC.
**data.result.profile.state\_registered** `boolean`
True when registered with one or more states.
**data.result.profile.exempt\_reporting\_adviser** `boolean`
True when the firm files as an exempt reporting adviser rather than registering.
**data.result.profile.registrations** `object[]`
Each SEC or state registration with its status and effective date.
**data.result.profile.registrations\[].jurisdiction** `string | null`
`SEC` or a state name. `null` when the source gives no value.
**data.result.profile.registrations\[].status** `string | null`
The register's status word, for example Approved or Terminated. `null` when the source gives no value.
**data.result.profile.registrations\[].effective\_on** `string | null`
YYYY-MM-DD. `null` when the source gives no value.
**data.result.profile.exempt\_reporting** `object[]`
Each exempt reporting filing with the SEC or a state, in the same shape.
**data.result.profile.exempt\_reporting\[].jurisdiction** `string | null`
`SEC` or a state name. `null` when the source gives no value.
**data.result.profile.exempt\_reporting\[].status** `string | null`
The register's status word, for example Approved or Terminated. `null` when the source gives no value.
**data.result.profile.exempt\_reporting\[].effective\_on** `string | null`
YYYY-MM-DD. `null` when the source gives no value.
**data.result.profile.notice\_filings** `object[]`
States where an SEC-registered adviser has notice filed.
**data.result.profile.notice\_filings\[].jurisdiction** `string | null`
The state where the SEC-registered adviser has notice filed. `null` when the source gives no value.
**data.result.profile.notice\_filings\[].effective\_on** `string | null`
YYYY-MM-DD. `null` when the source gives no value.
**data.result.profile.latest\_form\_adv\_filed\_on** `string | null`
Date of the most recent Form ADV the register displays, YYYY-MM-DD. `null` when the source gives no value.
**data.result.profile.street** `string | null`
Street. `null` when the source gives no value.
**data.result.profile.street2** `string | null`
Street2. `null` when the source gives no value.
**data.result.profile.postal\_code** `string | null`
Postal code. `null` when the source gives no value.
**data.result.profile.register\_url** `string`
The firm's page on the public register.
```bash cURL theme={null}
curl -X POST https://win.oneshotagent.com/v1/tools/lookup/company-adviser-registration \
-H "Content-Type: application/json" \
-H "payment-signature: " \
-d '{
"crd": 149117
}'
```
```javascript JavaScript theme={null}
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
}),
});
```
```typescript SDK theme={null}
const result = await agent.tool('lookup/company-adviser-registration', {
crd: 149117
});
console.log(result.result);
console.log(result.evidence);
```
```json Response (200) theme={null}
{
"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"
}
}
}
```
> [!NOTE]
>
> See [Pricing](https://docs.oneshotagent.com/pricing.md) 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 `crd` and `name`.
* A CRD number returns `profile`, the firm's full record, with `total` 1; `profile` is null and `total` 0 when the number is not an investment adviser in the register. A name returns `matches`, a list of firms to pick from, best match first, each with the CRD number to call again with; `profile` is 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. `total` counts every register record that matched, including firms registered only as broker-dealers, which are not returned.
* `adviser_status` is `inactive` for a firm no longer registered or reporting; the register keeps such firms for ten years. `registrations` lists each SEC or state registration with its status word (`Approved`, `Terminated`) and effective date; `exempt_reporting` lists exempt reporting filings; `notice_filings` lists 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}`
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