Investment adviser registration and disclosure lookup in an SEC IAPD compilation file, by CRD or name
One command in the Compliance pack, available in the CLI, as an MCP tool and as a JavaScript import: compliance lookup.
What it needs, and why
Every input is checked before anything is calculated. feedPath and crd are required; the rest refine the answer.
| Input | Required | The question it asks | Why it matters |
|---|---|---|---|
feedPath | yes | Which IAPD compilation file should I search? Download it from https://adviserinfo.sec.gov/compilation (SEC firms, state firms, or investment adviser representatives). | Lookups run on the official SEC bulk file on disk; nothing is scraped. |
crd | yes | What is the CRD number, or the name to search for? | Records are matched by CRD, or by name when the CRD is unknown. |
Requests it answers
- “is this adviser registered”
- “look up this CRD”
- “does this RIA have disclosures”
- “which states is this adviser registered in”
An agent with this pack loaded picks the command from phrasing like that, asks for whatever input is missing, and reports the figures with the method that produced them.
Run it
node bin/wealth-skills.js compliance lookup --feed tests/fixtures/iapd/sec-firms.xml --crd 900002 --as-of 2026-09-13Limits it inherits from wealth-compliance
- The screen is pattern matching. It does not understand negation, judge whether a communication is fair and balanced, or review performance presentations.
- Passing the screen is not approval. Retail communications still need review by a registered principal.
The full pack, its other 3 commands and what it deliberately leaves alone are on the Compliance page.