Form ADV-E certificates of accounting of client securities
Form ADV-E: accountant certificates from surprise custody examinations of investment advisers, on EDGAR until 2012.
curl -H "Authorization: Bearer $SECFEED_KEY" \ "https://secfeedapi.com/v1/filings?query=formType:%22ADV-E%22&size=2"
import os, requests
r = requests.get(
"https://secfeedapi.com/v1/filings",
params={'query': 'formType:"ADV-E"', 'size': '2'},
headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())What is ADV-E?
EDGAR titles ADV-E "Certificate of Accounting of Client Securities and Funds in Possession or Custody of an Investment Advisor". Under the custody rule, an independent accountant conducts a surprise examination of client assets held by an adviser and files the certificate with the SEC.
The EDGAR series ends in 2012, after the filing moved to the IARD system that also hosts Form ADV.
Independent public accountants examining investment advisers with custody of client assets.
After each surprise examination, until the filing moved off EDGAR in 2012.
Filings per year
Every ADV-E filing on EDGAR, counted from the SecFeed index. Updated daily.
What is inside
| Section | Contents |
|---|---|
| Accountant's certificate | Results of the surprise examination. |
| Adviser | The investment adviser examined. |
| Exceptions | Any material discrepancies found. |
Get ADV-E data with SecFeed
Search the filings with formType:"ADV-E", read any document as text or PDF, and use these APIs for structured data:
Search every SEC EDGAR filing since 1993 with Lucene-style queries over ticker, CIK, form type, filing date, company, SIC and 8-K items.
AdvisersForm ADV APIInvestment adviser firms and representatives from Form ADV: registration, offices, filings and brochures, searchable by name or CRD.
Latest ADV-E filings
| Company | Form | Filed | |
|---|---|---|---|
| TERRY JEANETTE FRANCES /ADV | ADV-E | 2012-05-16 | EDGAR ↗ |
| TERRY JEANETTE FRANCES /ADV | ADV-E | 2012-05-16 | EDGAR ↗ |
| BOYS ARNOLD & CO INC /ADV | ADV-E | 2012-05-02 | EDGAR ↗ |
| ASSET SERVICES CO LLC /ADV | ADV-E | 2012-02-02 | EDGAR ↗ |
| DLJ LBO PLANS MANAGEMENT CORP /ADV | ADV-E | 2011-03-30 | EDGAR ↗ |
| CREATIVE FINANCIAL GROUP LTD /ADV | ADV-E | 2011-03-30 | EDGAR ↗ |
| MERCHANT CAPITAL INC /ADV | ADV-E | 2011-03-30 | EDGAR ↗ |
| WSW CAPITAL INC /ADV | ADV-E | 2011-03-30 | EDGAR ↗ |
Use cases
- Historical research on adviser custody examinations
- Due diligence on advisers' past examinations
Related forms
FAQ
Where are ADV-E certificates filed now?
Through the IARD system rather than EDGAR.
Why does the series end in 2012?
The filing moved to IARD.
Every ADV-E filing, one API call away
500 free calls a month. JSON, CSV, PDF and a Python SDK.