Succession Screener
Find succession-exposed RIA practices, with source citations
Screen 3,000+ RIA firms by succession arrangement, single-principal status, and fee posture from extracted Form ADV Part 2A brochures. Every result is traceable to the source filing and page.
Powered by intelligence from 23,428+ SEC-registered RIA firms
The Problem This Solves
Managing succession screener manually takes time and attention away from the high-value client work that actually grows your practice. You are spending effort on what should be automated, and that friction compounds across your team.
✦ You will have a clear, data-driven view of find succession-exposed ria practices, with source citations without the manual work.
Tool Details
How It Works
Queries the BrochureIntelligence dataset — structured facts extracted from SEC Form ADV Part 2A brochures (Haiku/Sonnet extraction, domain-validated). Filters run in the database against indexed columns (succession arrangement, single-principal, effective fee at $1M, minimum account, client niche, fee structure); the narrowed result set is then enriched with firm name, state, and AUM from the SEC IAPD universe. The flagship signal combines three independent exposure markers: no disclosed succession/continuity arrangement, a single-principal practice, and an effective fee at or above 1.20% at $1M (compression-vulnerable). Every surfaced fact carries the source brochure's filed date and the PDF page it was read from.
Data Sources
- •SEC Form ADV Part 2A brochures — structured extraction (BrochureIntelligence)
- •SEC IAPD registered-adviser universe (firm name, state, AUM) joined by CRD
- •Per-field page citations retained from the source filing
Audit Parameters
- •Source: SEC Form ADV Part 2A
- •Flagship: no-succession + single-principal + fee ≥ 1.20% @ $1M
- •Gated: Architect / Enterprise
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