AdvisorIQ

The continuing education rule for one designation as AdvisorIQ has confirmed it from the body that sets it: hours or credits per cycle, category minimums (ethics and others), how the cycle is set, carryover, any version taking effect later, each with its source URL, a short quote and the date checked, plus the questions still open. Designations: CFP, CIMA, CPWA, RMA, CIMC, CFA, The American College's ChFC, CLU, RICP, CAP, CASL, ChSNC, CLF, FSCP, TPCP, WMCP and DAFCP, IAR (state IAR CE; use iar_ce_state for one state), or FINRA (registered representatives; MQP for FINRA's Maintaining Qualifications Program). IWI returns CIMA, CPWA, RMA and CIMC together; American College returns all of The College's designations; FINRA's guide key returns FINRA and MQP. FINRA's Regulatory Element has no hour count: its answer has measure "assigned" and no total, never a number of hours. Refuses when the rule is not confirmed; never guesses.

{
  "type": "object",
  "properties": {
    "designation": {
      "type": "string",
      "description": "CFP, CIMA, CPWA, RMA, CIMC, CFA, ChFC, CLU, RICP (or another American College designation), IAR, FINRA, MQP, IWI or American College"
    }
  },
  "required": [
    "designation"
  ],
  "additionalProperties": false
}

What an advisor owes this cycle for a set of designations, with the deadline and days left, computed by the same engine as AdvisorIQ's CE calculator. CFP, CIMA, CPWA, RMA and American College (ChFC, CLU, RICP and others) cycles depend on the advisor's own dates: pass period_ends (for example {"CFP": "2027-06"} for a CFP cycle ending June 2027, or a full YYYY-MM-DD date; an American College period always ends December 31). IAR needs the state where the advisor is registered. FINRA is not calculated: its Regulatory Element is assigned content with no hour count (use ce_requirements). A line whose rule is not confirmed is refused, not estimated.

{
  "type": "object",
  "properties": {
    "designations": {
      "type": "array",
      "items": {
        "type": "string"
      },
      "description": "Designation codes, e.g. [\"CFP\", \"IAR\"]"
    },
    "state": {
      "type": "string",
      "description": "Two-letter code or name of the state of IAR registration"
    },
    "period_ends": {
      "type": "object",
      "additionalProperties": {
        "type": "string"
      },
      "description": "Cycle end per designation code, YYYY-MM or YYYY-MM-DD"
    }
  },
  "required": [
    "designations"
  ],
  "additionalProperties": false
}

Whether one US state or territory requires continuing education for investment adviser representatives (IAR CE), since when or from when, and what it requires, from NASAA's IAR CE map and model rule with the date checked. Takes a two-letter code or a name. Refuses when the state's status is not confirmed.

{
  "type": "object",
  "properties": {
    "state": {
      "type": "string",
      "description": "Two-letter code or name, e.g. CA or California"
    }
  },
  "required": [
    "state"
  ],
  "additionalProperties": false
}

Every jurisdiction on NASAA's IAR CE map with its status this year (in effect, adopted and starting later, not adopted), the counts, the requirement where it applies, and the open questions about the list. Use for any "which states require IAR CE" question.

{
  "type": "object",
  "additionalProperties": false
}

Confirmed regulatory and CE deadlines for advisers and their firms between two dates (default: today to a year out), each with the rule that sets the date, its official source and the date checked. Filter with applies_to: ria (investment adviser firms), iar (investment adviser representatives), rep (FINRA registered representatives), 13f (13F filers), private_funds (private fund advisers). Deadlines not yet confirmed are withheld and counted.

{
  "type": "object",
  "properties": {
    "from": {
      "type": "string",
      "description": "YYYY-MM-DD, default today (Eastern)"
    },
    "to": {
      "type": "string",
      "description": "YYYY-MM-DD, default one year after from"
    },
    "applies_to": {
      "type": "array",
      "items": {
        "type": "string",
        "enum": [
          "ria",
          "iar",
          "rep",
          "13f",
          "private_funds"
        ]
      },
      "description": "Audiences; any match"
    }
  },
  "additionalProperties": false
}

Live AdvisorIQ webinars scheduled from now, soonest first, with the time in Eastern, presenters, sponsor, and the CE credit each offers with its approval status. Filter by topic and by credit (CFP, IWI, CFA or IAR; only approved credit matches). Credit marked pending is not yet approved by the body.

{
  "type": "object",
  "properties": {
    "topic": {
      "type": "string",
      "description": "Topic name or slug, e.g. tax planning"
    },
    "credit": {
      "type": "string",
      "description": "CFP, IWI, CFA or IAR"
    }
  },
  "additionalProperties": false
}

Published replays of AdvisorIQ webinars, newest first, with length, sponsor, and self-study CE credit where a body approved it. A replay earns CE only where the body approved a self-study version.

{
  "type": "object",
  "properties": {
    "topic": {
      "type": "string",
      "description": "Topic name or slug"
    }
  },
  "additionalProperties": false
}

Published AdvisorIQ research articles matching words in the title, summary or text, newest first. Then get_article with a slug to read one.

{
  "type": "object",
  "properties": {
    "q": {
      "type": "string",
      "description": "Words to search for"
    }
  },
  "required": [
    "q"
  ],
  "additionalProperties": false
}

One published AdvisorIQ research article in full (markdown), with its author, dates and address. Takes the slug or the article's URL.

{
  "type": "object",
  "properties": {
    "slug": {
      "type": "string",
      "description": "The article slug or its advisoriq.com URL"
    }
  },
  "required": [
    "slug"
  ],
  "additionalProperties": false
}

Find independent wealth management RIAs (SEC or state registered) in AdvisorIQ's directory by part of the firm's name, its CRD number or SEC 801- number, or its main office city, optionally within one state. Returns at most 25 firms, best name matches first and then by assets, each with CRD, city, state, registration, regulatory assets under management and its AdvisorIQ page. Set include_bd_affiliated to also search broker-dealer affiliated wealth firms such as the wirehouses. Asset managers, private fund managers and pension consultants are not in the directory. Use it to get the CRD for get_ria_firm. Firm-level data only: it never returns individual advisers.

{
  "type": "object",
  "properties": {
    "query": {
      "type": "string",
      "description": "Part of the firm name, a CRD number, an SEC number (801-12345), or a city"
    },
    "state": {
      "type": "string",
      "description": "Optional: two-letter code or name of the firm's state, e.g. TX or Texas"
    },
    "include_bd_affiliated": {
      "type": "boolean",
      "description": "Optional, default false: also cover broker-dealer affiliated wealth firms (wirehouses, broker-dealers and their advisory arms, banks), which AdvisorIQ lists apart from independent RIAs"
    }
  },
  "required": [
    "query"
  ],
  "additionalProperties": false
}

One independent wealth management RIA's figures from its Form ADV, by CRD number: registration and status, location, website, regulatory assets under management (discretionary and not), accounts, clients and client types, employees and adviser representatives, fee types, services, affiliations, custody, whether it reported disclosures, growth over 1, 3 and 5 years, its national and state ranks among independent RIAs, and its yearly history from the SEC's files. A broker-dealer affiliated wealth firm (a wirehouse, a broker-dealer's advisory arm, a bank's) is returned only with include_bd_affiliated, ranked among all wealth firms. Asset managers and other firms outside wealth management are not in the directory. One firm per call; find the CRD with search_ria_firms.

{
  "type": "object",
  "properties": {
    "crd": {
      "type": [
        "integer",
        "string"
      ],
      "description": "The firm's Organization CRD number, or its AdvisorIQ page URL"
    },
    "include_bd_affiliated": {
      "type": "boolean",
      "description": "Optional, default false: also cover broker-dealer affiliated wealth firms (wirehouses, broker-dealers and their advisory arms, banks), which AdvisorIQ lists apart from independent RIAs"
    }
  },
  "required": [
    "crd"
  ],
  "additionalProperties": false
}

A ranking of independent wealth management RIAs, national or within one state, as AdvisorIQ computes it from Form ADV (for example the largest by assets, or the fastest growing), with how it is computed. Returns up to 100 firms (default 25) with rank, CRD, city, state, value and, for growth rankings, the starting value. Set include_bd_affiliated for the ranking of all wealth firms, wirehouses and other broker-dealer affiliated firms included. An unknown metric returns the list of rankings.

{
  "type": "object",
  "properties": {
    "metric": {
      "type": "string",
      "description": "Ranking slug or name, e.g. largest"
    },
    "state": {
      "type": "string",
      "description": "Optional: two-letter code or name for the ranking within one state"
    },
    "limit": {
      "type": "integer",
      "minimum": 1,
      "maximum": 100,
      "description": "How many firms, 1 to 100, default 25"
    },
    "include_bd_affiliated": {
      "type": "boolean",
      "description": "Optional, default false: also cover broker-dealer affiliated wealth firms (wirehouses, broker-dealers and their advisory arms, banks), which AdvisorIQ lists apart from independent RIAs"
    }
  },
  "required": [
    "metric"
  ],
  "additionalProperties": false
}

Market data on independent wealth management RIAs for the US or one state, as on AdvisorIQ's industry and state pages: number of firms, total and median regulatory assets under management, accounts, size bands, fee types and the other figures AdvisorIQ tracks, each with its definition, for the latest snapshot and, for SEC-registered firms (the history), the one a year earlier. Segment narrows it: all (default, SEC and state registered), sec or state. Set include_bd_affiliated for all wealth firms, wirehouses and other broker-dealer affiliated firms included.

{
  "type": "object",
  "properties": {
    "scope": {
      "type": "string",
      "description": "US (default), or a state's two-letter code or name"
    },
    "segment": {
      "type": "string",
      "enum": [
        "all",
        "sec",
        "state"
      ],
      "description": "Default all"
    },
    "include_bd_affiliated": {
      "type": "boolean",
      "description": "Optional, default false: also cover broker-dealer affiliated wealth firms (wirehouses, broker-dealers and their advisory arms, banks), which AdvisorIQ lists apart from independent RIAs"
    }
  },
  "additionalProperties": false
}