14,000+ Offices of U.S. Registered Investment Advisors: A Dataset for Analysis, Compliance, and Marketing

The dataset comprises information about 15,400 Registered Investment Advisors (RIAs). It's a comprehensive list providing key details about these firms, with data spanning from general contact information to more specific financial and regulatory details. Here's a rundown of the dataset: This data contains information about each RIA's registration with the U.S. Securities and Exchange Commission (SEC), including their SEC number, firm type, legal and business names, and the status of their registration. It provides geographical and contact details for both the main and mailing offices, including addresses, phone numbers, and fax numbers. Financial and regulatory data includes the total number of offices other than the principal one, the approximate amount of assets managed, the date of the latest ADV filing, and specific regulatory or compliance data points labeled as 3A and 3B. There's also information about the effective date of their current SEC registration status, their website address, and the state and country of operation. Use Cases: 1. **Regulatory Compliance:** The data can be used by regulators to monitor the activities of these firms, ensuring that they are complying with laws and regulations. 2. **Market Research:** Financial analysts and researchers can use this dataset to study the investment advisory industry, identify trends, and perform competitive analysis. 3. **Investor Due Diligence:** Investors can use this data to verify the legitimacy of investment advisors, perform background checks, and gather information necessary for due diligence. 4. **Business Intelligence:** The data could be used for business development and strategic planning. For example, identifying areas with fewer RIAs might indicate opportunities for expansion. 5. **Sales and Marketing:** Vendors that provide services or products to RIAs can use this dataset for lead generation and market segmentation, as it provides ample details for targeting potential clients. 6. **Journalism and Academic Research:** Journalists and academics can use this dataset to study the structure of the financial industry, inform their reporting, or support academic research. 7. **TV-Based Advertising:** The dataset provides the main office address for each of these Registered Investment Advisors (RIAs). Marketing teams can leverage this information to target television ads more effectively. For example, by understanding the geographical distribution of these firms, advertisers can purchase ad slots on local or regional TV stations that are most likely to reach their intended audience. This approach is particularly useful for companies that offer financial products, services, or solutions relevant to RIAs. 8. **Direct Mail Marketing:** The detailed mailing addresses provided in the dataset enable businesses to engage in direct mail marketing campaigns. These campaigns can be especially effective for B2B offerings, as they allow companies to deliver tailored messages straight to the RIAs. Direct mail might include product catalogs, promotional offers, or informational materials, designed to raise awareness, educate potential customers about products or services, and ultimately drive sales or actions. Here's a brief description of the columns: 1. **SEC#:** The registration number of the firm with the Securities and Exchange Commission. 2. **Firm Type:** This could indicate the type of business, for example, hedge fund, private equity firm, broker-dealer, etc. 3. **Primary Business Name:** The commonly known name of the business. 4. **Legal Name:** The legal name of the business as registered with the state or country. 5. **Main Office Street Address 1 & 2:** The physical address of the business's main office. 6. **Main Office City, State, Country, Postal Code:** Geographic details about the business's main office. 7. **Main Office Telephone Number & Facsimile Number:** Contact details for the main office. 8. **Total number of offices, other than your Principal Office and place of business:** This could indicate the number of branch offices or other locations the business has. 9. **Mail Office Street Address 1 & 2, City, State, Country, Postal Code:** Mailing address for the business, which may be different from the physical address. 10. **SEC Current Status & SEC Status Effective Date:** This likely indicates the current status of the firm's registration with the SEC (active, suspended, etc.) and the date this status became effective. 11. **Latest ADV Filing Date:** ADV forms are used by investment advisers to register with both the SEC and state securities authorities. The date of the latest filing would be indicated here. 12. **Website Address:** The URL of the business's website. 13. **Approx. amount of assets:** The approximate amount of assets under management or control by the business. 14. **3A & 3B:** These could be specific regulatory or compliance data points. Their meaning would depend on the context. 15. **State & Country:** The state and country of operation or registration of the firm.

搜集汇总

背景与挑战

背景概述

该数据集收录了约15,400家美国注册投资顾问的详细信息，包括SEC注册状态、地理联系方式和财务监管数据。它适用于监管合规、市场研究、投资者尽职调查以及商业营销等多种应用场景。