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Agent tools

SearchIAPDIndividual

This page runs SearchIAPDIndividual. Type a person name. The results open the adviser record.

Run SearchIAPDIndividual

Agents call this name on the Fintel Discovery server.

What the agent sent

{
  "tool": "SearchIAPDIndividual",
  "query": "Jane Smith"
}

Type the name or the CRD in the box. Do not type SearchIAPDIndividual into the box. That string is the tool. The box is the argument.

A result opens a firm page or an adviser page.

How to use SearchIAPDIndividual

SearchIAPDIndividual searches SEC IAPD for an investment adviser representative by name. Fintel uses it when the question names a person and the CRD is still unknown. This page runs that search on adviser records here. The same job under the Pipeworx name is adv_search_individual.

Type this

  1. Type the start of the person name. The example is Jane Smith.
  2. Prefer given name plus family name. A family name alone returns many people.
  3. Press Look up. Open the rows that could be the person. Read the employer on each adviser page.
  4. Copy the person CRD once the employer matches.
  5. Open GetIAPDIndividualDetail with that CRD when the agent wants the detail call.

The name must match the start of the stored display name. If you get nothing, try the family name only, then add the first name back if the list is too long. A middle initial is optional.

Read the result

The useful fields are the person name, the CRD, and the current firm. Employment history and exam detail that you still need belong on the adviser page and on IAPD. The individual URL pattern is https://adviserinfo.sec.gov/individual/summary/ plus the CRD.

A broker who is not an investment adviser representative may not be in this list. Use SearchBrokerCheck for that tool name, and confirm on BrokerCheck.

Use this next

Do not do this

Every tool page

After the record opens