Aletheus · ask the archive

Ask the roster archive.

One question in ordinary words, answered from the SEC’s public Form ADV adviser rosters — 197 monthly snapshots spanning 2006 to 2026, about 2.48 million firm-rows across 34,213 distinct firms — or refused by name, with the list of question shapes that would have worked. The answering layer holds a fixed set of shapes; a question that fits none of them is declined rather than guessed at.

Try: find goldman sachs · tell me about firm 361 · when did crd 7506 leave · what aum did crd 361 report · how many advisers in november 2013 · list the snapshots · what can you answer

You asked: “how many advisers in november 2013”

Roster size

roster date
2013-11-01
source file
SEC Registered Investment Adviser Report 2013-11-1.xlsx
snapshot firms
10905
stored identified advisers
10905
reading it
Two numbers, never one: the firm count recorded when this roster file was ingested, and how many identified advisers (rows carrying a CRD) the archive stores for that date, counted now. They are stated separately even when they agree.
caveat
The SEC's own published file for 2013-11-01 declared 13,447 advisers, but 2,542 of its rows carried no CRD number at all. A row with no identifier is not an adviser this archive can say anything true about, so the archive stores 10,905 identified advisers for that date. Both numbers belong in any statement about this snapshot.

Archive: 199 roster snapshots, 2006-06-05 to 2026-10-02; the latest lists 17210 firms (ia09012026.csv). Every answer describes the archive as of the latest snapshot above. A firm that registered or deregistered since is not in it yet.

Source, limits, and what this archive cannot show

source

dataset
SEC Form ADV investment-adviser firm roster
publisher
U.S. Securities and Exchange Commission
retrieved from
https://adviserinfo.sec.gov/ (IAPD), monthly published roster files
redistribution
Works of the United States Government carry no U.S. copyright (17 U.S.C. 105(a)). These roster files were served to the public, free of charge, by the SEC's own public website. Cite the SEC as the source. No SEC seal, logo or artwork is reproduced here, and IARD is a registered service mark of its owner.
what it is
One row per firm per monthly roster snapshot, as filed. Nothing here is computed, weighted, scored or ranked.

limits

max firms per answer
25
min name query characters
3
fields never served
  • discipline_any
  • discipline_kinds
  • phone
ordering
Results are returned in a fixed identifier order. Nothing on this surface is ranked, scored, sorted by any measure of a firm, or presented as a comparison.
paging
None. No cursor, offset or page parameter exists, so there is no way to walk past the cap.

cannot show

What this archive CANNOT show: it is a registration roster, not a conduct record. It does not show what any firm or person did, whether anyone was harmed, whether a complaint was ever made, what a firm charged, or anything about any individual representative. A firm leaving the roster is ordinary — an acquisition, or a move to state registration below the SEC threshold — and is not evidence of anything by itself.

retrieved

2026-10-16

Answers come from public SEC records. They describe what was filed, not whether anyone did anything wrong, and they are not legal advice. Automated retrieval and analysis may be inaccurate or incomplete — verify against the cited source documents before relying on any answer.

What this page answers: finding a firm by name, CRD, CIK or SEC file number; one firm’s roster record, its span across the rosters, and its own reported AUM and accounts over time; how many advisers a named snapshot lists; and the archive’s own provenance — every roster file with its date and source filename. What it refuses, always: anything ordered by a measure of a firm, anything about discipline or conduct, anything about an individual person, any cause or reason for a change, and any answer bigger than twenty-five firms. A misspelled firm name comes back with up to five similar names drawn from the archive’s own index, for you to re-ask — never a corrected search run on your behalf, and never a ranking.

Answers come from public SEC records. They describe what was filed, not whether anyone did anything wrong, and they are not legal advice. Automated retrieval and analysis may be inaccurate or incomplete — verify anything that matters against the cited source documents before relying on any answer. The archive is a registration roster, not a conduct record: a firm leaving it is ordinary, and is not evidence of anything by itself.