RIA Compliance Software: Adviser-Level Data
Every SEC-registered adviser, with the compliance software firm it names on Form ADV, who changed in the last year, and its assets today. A 12-month data license, updated monthly.
About This Product
Which RIAs Use Each Compliance Software Firm, Adviser by Adviser
Every SEC-registered investment adviser, one row each, with the compliance software firm it names on Form ADV as keeping its books and records, which advisers added or dropped one in the last year, and the assets, client mix and staff it reports to the SEC today.
The public page Which Compliance Software Firms Do RIAs Use? shows the market at the firm level. This license is the data behind it, adviser by adviser, so a vendor can see which advisers name it, which name a competitor instead, and which changed in the last year.
What is in the workbook
- Advisers: every SEC-registered adviser in the filings, identified by its SEC CRD number, with city and state, current regulatory assets, the share managed for individuals, employees and clients; the compliance software firms it names, a yes/no column for each of the six most named; and every other grouped firm it names in Form ADV Section 1.L, by category.
- Changes: every adviser that added, dropped or switched a compliance software firm between its latest filing a year earlier and its latest now, with the firms named on each and both filing dates.
- Firms: each compliance software firm, the advisers naming it, its share, how many of those advisers are still registered, their median assets, how its count changed in the year, and every filed spelling grouped under it.
- About: the sources, the dates, and what the filings can and cannot say.
Every adviser is a firm. No individual is named and no contact details are included: join the CRD number or the firm name to the contact tool you already use.
How it is updated
- Monthly: assets, registration status, clients and employees, from the SEC's monthly registered-adviser file.
- Once a year: which firms each adviser names, when the SEC publishes its next full Form ADV filing-data release. The current relationships are from filings through December 31, 2024.
The file at your download link is replaced with each update, for twelve months from purchase.
What the filings can and cannot say
- A firm named in Form ADV Section 1.L keeps some of the adviser's records: strong evidence the adviser uses it.
- Not naming a firm is evidence of nothing. Most advisers name no outside record keeper at all, and an adviser can use software that keeps no records it needs to list.
- Names are as advisers typed them, grouped by company under published rules; every grouped spelling is in the workbook.
License
Licensed to the purchasing company for internal use, for twelve months. Not for resale or redistribution, in whole or in part. See the Digital Product Terms, including section 3.4 on data licenses.
Source data: U.S. Securities and Exchange Commission, public domain. The compilation, grouping and categories are Finantrix's.
What's Included
Company License (12 months)
Internal use by the purchasing company for twelve months, with every update in that time.
All sales are final. We do not offer refunds, returns or exchanges.
Delivered instantly on payment. EU and UK consumers: starting the download ends the 14-day right of withdrawal.
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