FinraDex — Investment Advisor Lookup on SEC & FINRA Records
A searchable database of US investment advisors: registration status, disclosures, disciplinary history and assets under management, packaged into profiles a retail investor can actually read.
Handing your savings to a financial advisor should start with due diligence: is this person registered, have clients complained, has a regulator ever stepped in? All of that is on the public record in the United States — scattered across regulatory filings built for compliance officers rather than ordinary investors.
FinraDex is a product I built and run myself to close that gap. It turns SEC and FINRA records into a fast lookup tool with plain-language profiles, aimed at retail investors vetting an advisor before signing and at anyone benchmarking firms by size, credentials or track record.
What you can do on the platform
- Find any advisor or firm by typing a name or a CRD number — the identifier every registered professional carries.
- Verify registration status against SEC and FINRA records straight from each profile.
- Review disclosures, complaints and disciplinary history — the red-flag data that is hardest to dig out of the official sources.
- Compare certifications, AUM and related advisors to judge a professional in context rather than in isolation.
- Browse state by state, from New York with 9,987 listed advisors and California with 4,815 down to the smallest territories.
- Rank top firms by assets under management, led by household names managing over a trillion dollars.
Scale and coverage
Every number above is published live on the site itself, where the whole dataset can be browsed by state, by firm and by individual professional: Visit finradex.com.
Under the hood
The platform is fully custom code: a Laravel and PHP backend over a MySQL schema tuned to serve tens of thousands of profile pages quickly. There is no CMS, no theme and no plugin layer — state indexes, firm rankings and advisor profiles are all rendered straight from the data model.
Its growth engine is programmatic SEO: one architecture generates a unique, structured, fast-loading page per advisor, per firm and per state, which lets the site compete for thousands of long-tail searches at once.
FinraDex FAQs
Where does the data on FinraDex come from?
From public SEC and FINRA investment advisor records, the official filings maintained by the two bodies that oversee the US advisory industry. FinraDex restructures that raw material into searchable profiles for advisors, firms and states.
What can I check about an advisor before hiring them?
Registration status with the SEC and FINRA, disclosures, customer complaints and disciplinary history, plus professional certifications, assets under management and a list of related advisors for comparison.
Can I search by CRD number instead of by name?
Yes. Every US advisor and firm carries a unique CRD identifier from the central registration depository, and the FinraDex search accepts either that number or a plain name query.
How large is the FinraDex database right now?
The homepage counters show 50,000+ SEC-registered advisors and 16,562 firms across 53 states and territories, representing a combined $11.6 trillion in assets under management.