Verum builds financial advisor lists by pulling from FINRA BrokerCheck, SEC Investment Adviser Public Disclosure, state securities regulators, and professional association databases. We deliver verified contact info for RIAs, broker-dealer reps, CFPs, and independent advisors that you can actually reach.
The Problem
Financial advisor data is technically public through regulatory databases, but those systems are designed for compliance lookups, not list building. You can search one advisor at a time on BrokerCheck, but you can't export a list of every RIA in Texas with over $50M AUM. That's where we come in.
How We Build Financial Advisor Lists
- FINRA BrokerCheck extraction. We systematically pull registered representative data including firm affiliations, license types (Series 7, 66, 65), and disclosed customer complaints.
- SEC IAPD mining. Investment Adviser Public Disclosure records give us RIA firm details, AUM figures, fee structures, and the individual Investment Adviser Representatives at each firm.
- CFP Board and designation matching. We cross-reference CFP, CFA, ChFC, and other designation holders to identify advisors with specific credentials you're targeting.
- Independent vs. wirehouse classification. We tag whether advisors work at wirehouses (Merrill, Morgan Stanley, UBS, Wells), regional B-Ds, or independent RIAs, since these segments buy differently.
- Direct contact discovery. We find personal emails and direct phone lines, not the branch receptionist number that rings to a compliance-monitored line.
What Your Financial Advisor List Includes
- Advisor name and CRD number. Unique Central Registration Depository number that links to their full regulatory history.
- Firm and channel. Which firm they're registered through and whether it's a wirehouse, independent B-D, RIA, or hybrid.
- Licenses and designations. Series 7, 66, 65, CFP, CFA, ChFC, CLU, and other credentials that indicate their practice type.
- AUM and client indicators. For RIA firms, we include reported assets under management. For individual reps, we estimate practice size from available signals.
- Direct contact information. Verified email and phone number for the advisor, not the branch or compliance department.
Frequently Asked Questions
Can you filter financial advisors by AUM or practice size?
For RIA firms, yes. SEC filings (Form ADV) include reported AUM, which we use as a direct filter. For individual reps at broker-dealers, exact AUM isn't publicly disclosed, but we can estimate practice size using team size, branch location, and production signals.
How do you handle advisors who are dually registered?
We identify dual-registration (advisors holding both B-D and RIA registrations) and tag it in the data. This matters for compliance and product suitability conversations. About 30% of advisors operate in a hybrid model, and we flag exactly which registrations they hold.
Can you separate fee-only RIAs from commission-based advisors?
Yes. Form ADV disclosures include compensation structure. We tag advisors as fee-only, commission-only, or fee-and-commission. This is important if you sell products or services that only work within specific compensation models.
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