advisorfinder-mcp 1.0.0

MCP server for querying SEC-registered financial advisor data

AdvisorFinder MCP Server

An MCP server that gives AI assistants access to SEC-registered financial advisor data. Look up advisors by CRD number, search by name or firm, check disclosure histories, and get risk assessments — all from within Claude or any MCP-compatible client.

Quick Start

Install

pip install advisorfinder-mcp

Configure Claude Desktop

Add to your Claude Desktop config (~/Library/Application Support/Claude/claude_desktop_config.json on macOS):

{
  "mcpServers": {
    "advisorfinder": {
      "command": "advisorfinder-mcp"
    }
  }
}

Restart Claude Desktop. The AdvisorFinder tools are now available.

Alternative: Run with uvx (no install needed)

{
  "mcpServers": {
    "advisorfinder": {
      "command": "uvx",
      "args": ["advisorfinder-mcp"]
    }
  }
}

Tools

Tool	Description
lookup_advisor	Full advisor profile by CRD number — employment, exams, designations, disclosures, risk score
search_advisors	Search by name, state, or firm
verify_advisor	Quick status check — active/inactive, disclosures, risk level, recommendation
get_risk_profile	Detailed risk assessment with individual factors and severity
get_firm_info	Firm details — advisor count, disclosure rates, location
get_database_stats	Database-wide statistics — totals, top states, disclosure rates

Resources

The server includes reference data that AI assistants can read for context:

Resource	Description
advisorfinder://risk-scoring-methodology	How risk scores are calculated (point values, risk levels)
advisorfinder://credentials-guide	Guide to financial advisor credentials (CFP, CFA, CPA, Series 7, etc.)
advisorfinder://data-sources	Information about SEC IAPD, FINRA BrokerCheck, and how to verify data

Prompts

Prompt	Description
advisor_due_diligence	Comprehensive due diligence workflow — chains lookup, risk profile, and firm analysis
compare_advisors	Side-by-side comparison of two or more advisors

Example Queries

Once configured, ask your AI assistant:

• "Look up financial advisor CRD 1234567"
• "Search for advisors named Smith in California"
• "Is CRD 9876543 an active registered advisor? Any red flags?"
• "Compare advisors CRD 1234567 and CRD 9876543"
• "Run a due diligence check on advisor CRD 1234567"
• "How many registered advisors are in the database?"

Data Source

All data is sourced from the SEC Investment Adviser Public Disclosure (IAPD) database, which is maintained by the U.S. Securities and Exchange Commission and updated weekly. You can verify any information directly:

• SEC IAPD: adviserinfo.sec.gov
• FINRA BrokerCheck: brokercheck.finra.org

Disclaimer

This MCP server is provided by AdvisorFinder and is intended for informational and research purposes only. It is not financial, legal, or investment advice.

The data served through this tool originates from publicly available SEC and FINRA databases. AdvisorFinder acts as an intermediary to make this public data more accessible — we do not independently verify, endorse, or guarantee the accuracy or completeness of the underlying data.

Important:

• A disclosure on an advisor's record does not necessarily indicate wrongdoing. Always review the full context of any disclosure event through the official SEC and FINRA sources linked above.
• AI assistants may interpret or summarize data in ways that are incomplete or inaccurate. Always verify AI-generated assessments against official sources before making decisions.
• AdvisorFinder is not responsible for conclusions, recommendations, or claims made by AI assistants using this data.
• This tool should not be used as the sole basis for selecting, evaluating, or dismissing a financial advisor.

Use at your own discretion. For personalized financial guidance, consult a qualified professional.

License

MIT