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Agent tools

adv_search_individual

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

Run adv_search_individual

Agents call this name on the Pipeworx SEC ADV server.

What the agent sent

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

Type the name or the CRD in the box. Do not type adv_search_individual 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 adv_search_individual

adv_search_individual searches a person, not a firm. Agents call it on the Pipeworx SEC ADV server when they have an adviser name and need the CRD, the employer, and the registration scope. The box takes the person name. Each hit opens an adviser page.

Type this

  1. Type the start of the person name. First and last name is the useful form. The example is Jane Smith.
  2. Use at least two letters. The filing name must start with what you type.
  3. Press Look up. Open each plausible row. Read the employer and the city on the adviser page.
  4. Copy the person CRD from the row or from the adviser page.
  5. If the agent asked for the full profile by number, open GetIAPDIndividualDetail with that CRD.

Common names return many people. Do not take the first row. The employer on the adviser page is the check. If you know the firm, open that firm from the person page, or search it with adv_search_firm.

Read the result

The adviser page is the individual record: name, CRD, and the employing firm when we have it. That is what this tool is for. A firm name typed here looks for a person whose name starts with the firm name, which is the wrong file.

SearchIAPDIndividual runs this same person-name lookup under the Fintel tool name. SearchBrokerCheck is the person search when the agent said BrokerCheck.

Use this next

Do not do this

Every tool page

After the record opens