Find registered investment advisers and wealth management decision makers

Start from the filing rather than a contact database. Every investment adviser registered with the SEC reports its regulatory assets under management on Form ADV Part 1, and the SEC publishes that form on Investment Adviser Public Disclosure and in downloadable data sets. Causo reads those filings, so a search such as “registered investment advisers with $250m to $1bn under management” is answered from the reported figure rather than from a headcount proxy.

Because assets under management is not a field those databases hold. They are assembled from professional profiles, company pages and web signals, which yield headcount, industry, location and a revenue estimate. Assets under management, client counts, fee model, custodian and registration status are reported to regulators instead, on Form ADV in the United States and on the FCA Register in the United Kingdom. The advisory firm is usually in the database; the criterion you want to sort it by is not.

Form ADV is the registration form every investment adviser files with the SEC or with a state securities regulator. Part 1 reports regulatory assets under management, the number and type of clients, employee counts, how the firm is compensated, the custodians holding separately managed account assets and any disciplinary history. Part 2A is the plain-English brochure carrying the fee schedule and account minimums, and Part 3, Form CRS, is the client relationship summary. It is filed at least annually, within 90 days of the firm’s fiscal year end, and amended in between when key facts change.

Firms with roughly $100m or more in assets generally register with the SEC and appear on Investment Adviser Public Disclosure, while smaller firms register with state securities regulators, whose records are coordinated through NASAA and the CRD system. Both sets of filings list the firm’s offices, so a state-level list can be built from the filings themselves rather than bought. Causo reads both, alongside FINRA BrokerCheck for firms that also have a broker-dealer arm.

Often, yes. On Form ADV Part 1, an adviser reports the custodians that hold at least ten per cent of its separately managed account assets, naming the institution in Schedule D. Comparing this year’s filing with last year’s shows when that changed, which is the signal behind a custody or platform switch. No contact database carries a custodian field at all.

Yes. The sources differ by country, so Causo uses the local equivalents: the FCA Financial Services Register in the United Kingdom, the AFM register in the Netherlands, BaFin in Germany and the ESMA registers of MiFID investment firms across the EU, ASIC in Australia, and the provincial regulators coordinated through the CSA National Registration Database in Canada. Each publishes authorised firms, permissions and approved individuals, which is what a search filters on.

It depends on size. At a firm with under twenty staff it is usually the founding principal or managing partner, who is often also the chief compliance officer, and that person is named in the firm’s own filing. From roughly thirty staff upward the roles separate into a chief operating officer, a head of technology and a dedicated compliance officer, and at an aggregator or consolidator it moves to a corporate development team. Causo surfaces the role alongside the firm so you can tell which of those you are looking at.

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