Form_MA, MAA

Field NameDescriptionData type
document_typeThe specific class or type of the document.String
issuer_cikCentral Index Key of the filing issuer.String
issuer_cccCIK Confirmation Code for the issuer.String
issuer_contact_namePrimary contact person for the issuer.String
issuer_contact_phonePhone number for the issuer contact.String
issuer_emailPrimary email address for the issuer.String
issuer_notification_emailEmail address for electronic notifications.String
filing_typeThe type of filing (e.g., Application, Amendment).String
company_nameFull legal name of the municipal advisor.String
company_crd_numberCRD number assigned to the company.Integer
is_sole_proprietorIndicates if the advisor is a sole proprietor.Boolean
sole_proprietor_firstnameFirst name of the sole proprietor.String
sole_proprietor_middlenameMiddle name of the sole proprietor.String
sole_proprietor_lastnameLast name of the sole proprietor.String
sole_proprietor_suffixSuffix for the sole proprietor's name.String
sole_proprietor_crd_numberCRD number of the sole proprietor.Integer
has_dba_nameIndicates if the firm operates under a DBA name.Boolean
dba_has_previous_nameIndicates if the DBA has changed previously.Boolean
dba_has_additional_namesIndicates if there are multiple DBA names.Boolean
irs_employer_idEmployer Identification Number (EIN).String
has_mat_registrationIndicates registration with MAT.Boolean
mat_registrationDetails of the MAT registration.String
is_municipal_advisorFlag for municipal advisor status.Boolean
is_municipal_securities_dealerFlag for municipal securities dealer status.Boolean
is_broker_dealerIndicates registration as a broker-dealer.Boolean
is_investment_adviserIndicates status as an investment adviser.Boolean
is_ia_sec_registeredIndicates SEC registration for IA.Boolean
is_ia_exempt_reporting_adviserFlag for Exempt Reporting Adviser status.Boolean
is_ia_registered_in_us_jurisdictionIndicates IA registration in US jurisdictions.Boolean
is_other_sec_registrationFlag for other SEC registrations.Boolean
is_another_federal_or_state_regulatorRegistered with other fed/state regulators.Boolean
municipal_advisor_file_noFile number for municipal advisor registration.String
municipal_securities_dealer_file_noFile number for muni dealer registration.String
broker_dealer_file_noFile number for broker-dealer registration.String
broker_dealer_crd_noCRD number for the broker-dealer.Integer
investment_adviser_sec_registered_file_noSEC File number for IA.String
investment_adviser_sec_registered_crd_noCRD number for SEC-registered IA.Integer
investment_adviser_us_registered_crd_noCRD number for US-registered IA.Integer
other_sec_registration_descriptionDescription of other SEC registration.String
other_sec_registration_file_noFile number for other SEC registration.String
other_sec_registration_cikCIK for other SEC registration.String
registrations_another_fed_state_regulator_descriptionDescription of other regulator.String
registrations_another_fed_state_regulator_regidRegistration ID for other regulator.String
has_additional_registrationsIndicates more registrations exist.Boolean
principal_office_street1Primary office street address.String
principal_office_street2Primary office address line 2.String
principal_office_cityPrimary office city.String
principal_office_state_or_countryPrimary office state or country.String
principal_office_zipcodePrimary office postal code.String
principal_office_phonePrimary office phone number.String
principal_office_faxPrimary office fax number.String
has_additional_officesFlag for more than one office location.Boolean
has_different_mailing_addressFlag if mailing address differs from primary.Boolean
primary_websiteThe main website URL for the advisor.String
has_additional_websitesFlag for additional website URLs.Boolean
number_of_additional_websitesCount of additional websites.Integer
additional_websitesList of additional website URLs.String
cco_first_nameFirst name of Chief Compliance Officer.String
cco_middle_nameMiddle name of CCO.String
cco_last_nameLast name of CCO.String
cco_titleOfficial title of the CCO.String
cco_street1CCO's street address line 1.String
cco_street2CCO's street address line 2.String
cco_cityCCO's city.String
cco_state_or_countryCCO's state or country.String
cco_zip_codeCCO's postal code.String
cco_phoneCCO's direct phone number.String
cco_faxCCO's direct fax number.String
cco_emailCCO's direct email address.String
contact_person_first_nameFirst name of the filing contact.String
contact_person_middle_nameMiddle name of the filing contact.String
contact_person_last_nameLast name of the filing contact.String
contact_person_titleTitle of the contact person.String
contact_person_street1Contact's street address line 1.String
contact_person_street2Contact's street address line 2.String
contact_person_cityContact's city.String
contact_person_state_or_countryContact's state or country.String
contact_person_zip_codeContact's postal code.String
contact_person_phoneContact's phone number.String
contact_person_faxContact's fax number.String
contact_person_emailContact's email address.String
has_books_and_recordsFlag for existing books and records.Boolean
books_and_records_location_nameName of location where records are kept.String
books_and_records_street1Street 1 for record location.String
books_and_records_street2Street 2 for record location.String
books_and_records_cityCity for record location.String
books_and_records_state_or_countryState/Country for record location.String
books_and_records_zipcodePostal code for record location.String
books_and_records_phonePhone for record location.String
books_and_records_faxFax for record location.String
books_and_records_descriptionDescription of records maintained.String
books_and_records_location_typeType of location (e.g., third-party).String
is_registered_ffraRegistered with foreign auth (FFRA).Boolean
foreign_fin_regulatory_auth_eng_ffranameEnglish name of the foreign authority.String
foreign_fin_regulatory_auth_foreign_reg_numRegistration number with foreign authority.String
foreign_fin_regulatory_auth_english_country_nameCountry of the foreign regulator.String
is_affiliated_other_businessIndicates affiliation with other business.Boolean
business_affiliate_nameName of the business affiliate.String
business_affiliate_has_applicable_registrationFlag for affiliate registration status.Boolean
business_affiliate_applicable_registration_issuing_agencyAgency issuing affiliate registration.String
business_affiliate_applicable_registration_numberRegistration number of the business affiliate.String
business_affiliate_applicable_registration_jurisdiction_federalIndicates federal jurisdiction for affiliate registration.Boolean
business_affiliate_applicable_registration_jurisdiction_stateIndicates state jurisdiction for affiliate registration.Boolean
form_org_typeLegal organizational structure (e.g., Corporation, LLC).String
form_of_organization_otherDescription if 'Other' was selected for org type.String
month_of_fiscal_year_endThe month the applicant's fiscal year ends.String
organized_jurisdictionState or country where the entity is organized.String
organization_dateThe date the entity was formed/organized.Date
is_prc_applicantFlag for Public Reporting Company applicants.Boolean
is_succeeding_applicantFlag if applicant is succeeding to the business of another.Boolean
number_of_employeesTotal number of employees.Integer
employees_engaged_in_maaNumber of employees engaged in municipal advisory activities.Integer
maa_employees_registered_bdMAA employees registered as broker-dealers.Integer
maa_employees_registered_iaMAA employees registered as investment advisers.Integer
number_of_soliciting_firmsNumber of firms used to solicit business.Integer
independent_business_employeeFlag for employees of independent businesses.Boolean
clients_served_as_maCount of municipal clients served as an advisor.Integer
types_of_clientsCategories of municipal clients served.String
types_of_clients_otherDescription of 'Other' municipal client types.String
number_of_solicited_municipalNumber of municipal entities solicited.Integer
number_of_solicited_obligatedNumber of obligated persons solicited.Integer
total_number_of_solicitedTotal count of persons/entities solicited.Integer
types_of_solicited_personsTypes of persons being solicited.String
types_of_solicited_persons_otherDescription for 'Other' solicited types.String
compensation_typesMethods of compensation for MAA.String
solicitation_compensation_typesCompensation methods for solicitation.String
maa_compensation_from_other_clientsFlag if compensation is received from other clients.Boolean
engaged_activitiesList of advisory activities the firm is engaged in.String
broker_dealers_is_actively_engagedActive engagement in broker-dealer business.Boolean
broker_dealers_is_primary_businessIndicates if BD is the primary business.Boolean
broker_dealers_reps_is_actively_engagedActive engagement of BD representatives.Boolean
broker_dealers_reps_is_primary_businessPrimary status of BD representative business.Boolean
commodity_pool_operator_is_actively_engagedActive engagement as Commodity Pool Operator.Boolean
commodity_pool_operator_is_primary_businessPrimary status of CPO business.Boolean
commodity_ta_is_actively_engagedActive engagement as Commodity Trading Advisor.Boolean
commodity_ta_is_primary_businessPrimary status of CTA business.Boolean
futures_commission_merchant_is_actively_engagedActive engagement as FCM.Boolean
futures_commission_merchant_is_primary_businessPrimary status of FCM business.Boolean
swap_dealers_is_actively_engagedActive engagement as Swap Dealer.Boolean
swap_dealers_is_primary_businessPrimary status of Swap Dealer business.Boolean
security_swap_dealers_is_actively_engagedActive engagement as Security-Based Swap Dealer.Boolean
security_swap_dealers_is_primary_businessPrimary status of Security-Based Swap Dealer.Boolean
trust_company_is_actively_engagedActive engagement as Trust Company.Boolean
trust_company_is_primary_businessPrimary status of Trust Company business.Boolean
insurance_is_actively_engagedActive engagement in insurance.Boolean
insurance_is_primary_businessPrimary status of insurance business.Boolean
banking_thrift_is_actively_engagedActive engagement in banking/thrift.Boolean
banking_thrift_is_primary_businessPrimary status of banking/thrift business.Boolean
investment_advisor_is_actively_engagedActive engagement as Investment Adviser.Boolean
investment_advisor_is_primary_businessPrimary status of IA business.Boolean
accounting_is_actively_engagedActive engagement in accounting.Boolean
accounting_is_primary_businessPrimary status of accounting business.Boolean
other_financial_product_advisor_is_actively_engagedActive engagement as other fin product advisor.Boolean
other_financial_product_advisor_is_primary_businessPrimary status of other fin product advisor.Boolean
accounting_jurisdictionJurisdiction where accounting is practiced.String
other_financial_product_advisor_jurisdictionJurisdiction for other fin product advice.String
is_engaged_in_other_non_maa_businessFlag for engagement in non-MAA activities.Boolean
fia_associated_persons_typesTypes of associated persons for FIA.String
total_fia_associated_personsTotal number of associated persons for FIA.Integer
mact_buy_sell_from_clientsTransactions involving buying/selling from clients.Boolean
mact_buy_sell_recommend_to_clientsRecommending buy/sell transactions to clients.Boolean
mact_enter_derivatives_with_clientsEntering into derivative contracts with clients.Boolean
mact_recommend_owned_interest_to_clientsRecommending securities in which firm has interest.Boolean
mact_recommend_to_clients_servingRecommending transactions while serving as advisor.Boolean
mact_recommend_to_clients_having_other_sales_interestRecommending transactions with other sales interests.Boolean
mact_disc_auth_buy_sell_as_maaDiscretionary authority held as MAA.Boolean
mact_disc_auth_buy_sellGeneral discretionary authority for buy/sell.Boolean
mact_disc_auth_determine_broker_dealerAuthority to determine which broker-dealer is used.Boolean
mact_disc_auth_determine_commission_to_broker_dealerAuthority to determine commission rates.Boolean
mact_recommend_broker_dealer_to_clientRecommending specific broker-dealers to clients.Boolean
mact_recommend_broker_dealer_to_client_are_apRecommending BDs that are associated persons.Boolean
mact_compensate_for_referralsPayment of compensation for client referrals.Boolean
mact_receive_compensation_for_referralsReceipt of compensation for client referrals.Boolean
is_cpf_for_applicant_policyIndicates control person status based on policy.Boolean
is_pr_company_under_1215Indicates PRC status under rule 1215.Boolean
control_person_first_nameFirst name of the control person.String
control_person_middle_nameMiddle name of the control person.String
control_person_last_nameLast name of the control person.String
control_person_crd_numberCRD number of the control person.Integer
control_person_effective_dateDate the control person's status began.Date
control_person_descriptionDescription of control person role/relationship.String
control_person_street1Control person's address line 1.String
control_person_street2Control person's address line 2.String
control_person_cityControl person's city.String
control_person_state_or_countryControl person's state or country.String
control_person_zipcodeControl person's postal code.String
control_person_phoneControl person's phone number.String
control_person_faxControl person's fax number.String
public_reporting_companies_nameName of the public reporting company.String
public_reporting_companies_cikCIK of the public reporting company.String
public_reporting_companies_reporting_schedulesApplicable reporting schedules for the PRC.String
criminal_convicted_of_felonyFlag for felony convictions (individual).Boolean
criminal_charged_with_felonyFlag for felony charges (individual).Boolean
criminal_org_convicted_of_felonyFlag for organization felony convictions.Boolean
criminal_org_charged_with_felonyFlag for organization felony charges.Boolean
regulatory_disclosure_made_false_statementFinding of making a false statement/omission.Boolean
regulatory_disclosure_violated_regulationFinding of regulation violation.Boolean
regulatory_disclosure_cause_of_denialFinding as the cause of a registration denial.Boolean
regulatory_disclosure_order_againstRegulatory order entered against the applicant.Boolean
regulatory_disclosure_imposed_penaltyImposition of a civil money penalty.Boolean
regulatory_disclosure_unethicalFinding of unethical conduct by a regulator.Boolean
regulatory_disclosure_found_in_violation_of_regulationFinding of violation of investment-related regs.Boolean
regulatory_disclosure_found_in_cause_of_denialFinding as the cause of a registration denial.Boolean
regulatory_disclosure_order_against_activityOrder barring or suspending association with activities.Boolean
regulatory_disclosure_denied_licenseDenial, suspension, or revocation of a license.Boolean
regulatory_disclosure_found_made_false_statementFinding of false statement/omission (Regulator).Boolean
regulatory_disclosure_found_in_violation_of_rulesFinding of SRO rule violation.Boolean
regulatory_disclosure_found_in_cause_of_suspensionFinding as cause of an SRO suspension.Boolean
regulatory_disclosure_discipliendApplicant was disciplined by an SRO.Boolean
regulatory_disclosure_authorized_to_act_attorneyAuthorization to act as attorney revoked.Boolean
regulatory_disclosure_regulatory_complaintAdministrative complaint filed by regulator.Boolean
civil_disclosure_enjoinedEnjoined by a court in connection with activity.Boolean
civil_disclosure_found_in_violation_of_regulationCourt finding of investment-related violation.Boolean
civil_disclosure_dismissedDismissal of a civil action pursuant to settlement.Boolean
civil_disclosure_named_in_civil_proceedingNamed in a pending investment-related proceeding.Boolean
has_annual_receipts_less_than_7_millionIndicates annual receipts below $7 million.Boolean
is_affiliated_with_receipts_more_than_7_millionAffiliate has receipts over $7 million.Boolean
ma_signature_nameElectronic signature of the applicant.String
ma_signer_printed_namePrinted name of the individual signing.String
ma_signature_titleOfficial title of the signer.String
ma_signature_dateDate the filing was signed.Date
ma_signature_crd_numberCRD number of the signer.Integer
has_indirect_owners_schedule_bFlag if indirect owners exist on Schedule B.Boolean
schedulea_business_nameDirect owner legal name (Entity).String
schedulea_business_contropersonprControl person status (PR) for Schedule A business.String
schedulea_business_einEmployer Identification Number for owner.String
schedulea_business_irs_tax_numberIRS Tax number for owner entity.String
schedulea_business_title_statusOfficial title or status of owner.String
schedulea_business_date_title_status_acquiredDate ownership/status was acquired.Date
schedulea_business_ownership_codeCode for percentage of ownership (A, B, C, D).String
schedulea_business_control_personFlag if direct owner is a control person.Boolean
schedulea_business_crd_numberCRD number for the owner entity.Integer
schedulea1_de_or_feIndicates Domestic (DE) or Foreign (FE) Entity.String
schedulea_person_name_first_nameFirst name of individual direct owner.String
schedulea_person_name_middle_nameMiddle name of individual direct owner.String
schedulea_person_name_last_nameLast name of individual direct owner.String
schedulea_person_title_statusTitle or status of the individual owner.String
schedulea_person_date_title_status_acquiredDate individual acquired status.Date
schedulea_person_ownership_codeOwnership code for individual owner.String
schedulea_person_is_control_personFlag if individual is a control person.Boolean
schedulea_person_crd_numberCRD number of individual owner.Integer
scheduleb_business_nameIndirect owner legal name (Entity).String
scheduleb_business_contropersonprControl person status (PR) for Schedule B business.String
scheduleb_business_irs_tax_numberTax ID for indirect owner entity.String
scheduleb_business_title_statusStatus of the indirect owner.String
scheduleb_business_date_title_status_acquiredDate indirect status was acquired.Date
scheduleb_business_ownership_codeCode for indirect ownership percentage.String
scheduleb_business_control_personFlag if indirect owner is a control person.Boolean
scheduleb1_de_or_feDomestic or Foreign Entity flag (Sch B).String
scheduleb_person_name_first_nameFirst name of individual indirect owner.String
scheduleb_person_name_middle_nameMiddle name of individual indirect owner.String
scheduleb_person_name_last_nameLast name of individual indirect owner.String
scheduleb_person_titleTitle of the indirect owner.String
scheduleb_person_date_status_acquiredDate status acquired (Sch B).Date
scheduleb_person_ownership_codeOwnership code (Sch B).String
scheduleb_person_is_control_personControl person flag (Sch B).Boolean
scheduleb_person_crd_numberCRD number for indirect owner.Integer
schedulec_business_nameAmended owner legal name (Entity).String
schedulec_business_contropersonprControl person status (PR) for Schedule C.String
schedulec_business_irs_tax_numberTax ID for Schedule C entity.String
schedulec_business_title_statusStatus of owner on Schedule C.String
schedulec_business_date_title_status_acquiredDate status acquired (Sch C).Date
schedulec_business_ownership_codeOwnership code (Sch C).String
schedulec_business_control_personControl person flag (Sch C).Boolean
schedulec1_de_or_feDomestic or Foreign Entity flag (Sch C).String
schedulec_person_name_first_nameFirst name of individual on Sch C.String
schedulec_person_name_middle_nameMiddle name of individual on Sch C.String
schedulec_person_name_last_nameLast name of individual on Sch C.String
schedulec_person_title_statusTitle of individual on Sch C.String
schedulec_person_date_title_status_acquiredDate status acquired (Sch C individual).Date
schedulec_person_ownership_codeOwnership code (Sch C individual).String
schedulec_person_is_control_personControl person flag (Sch C individual).Boolean
schedulec_person_crd_numberCRD number (Sch C individual).Integer
criminal_drp_filed_countCount of criminal DRPs.Integer
criminal_drp_filed_count_indexSequential index for criminal DRP count.Integer
criminal_drp_responding_to_questionQuestion reference for criminal DRP.String
criminal_drp_responding_to_question_indexIndex for DRP question reference.Integer
criminal_drp_ap_first_nameAssociated Person first name (DRP).String
criminal_drp_ap_first_name_indexIndex for AP first name.Integer
criminal_drp_ap_middle_nameAssociated Person middle name (DRP).String
criminal_drp_ap_middle_name_indexIndex for AP middle name.Integer
criminal_drp_ap_last_nameAssociated Person last name (DRP).String
criminal_drp_ap_last_name_indexIndex for AP last name.Integer
criminal_drp_ap_is_sec_registeredSEC registration flag for AP.Boolean
criminal_drp_ap_is_sec_registered_indexIndex for SEC reg flag.Integer
criminal_drp_ap_crd_numberCRD number of the AP.Integer
criminal_drp_ap_crd_number_indexIndex for AP CRD number.Integer
criminal_drp_filed_disclosure_nameName for disclosure record.String
criminal_drp_filed_disclosure_name_indexIndex for disclosure name.Integer
criminal_drp_filed_disclosure_crd_numberCRD for disclosure record.Integer
criminal_drp_filed_disclosure_crd_number_indexIndex for disclosure CRD.Integer
criminal_drp_filed_disclosure_numberUnique number for disclosure record.String
criminal_drp_filed_disclosure_number_indexIndex for disclosure number.Integer
criminal_disclosure_typeCategory of criminal disclosure.String
criminal_disclosure_drp_typeSpecific sub-type of criminal DRP.String
regulatory_drp_filed_countCount of regulatory DRPs.Integer
regulatory_drp_filed_count_indexIndex for regulatory DRP count.Integer
regulatory_drp_responding_to_questionQuestion reference for regulatory DRP.String
regulatory_drp_responding_to_question_indexIndex for reg DRP question.Integer
regulatory_drp_ap_firm_nameFirm name for regulatory DRP.String
regulatory_drp_ap_firm_name_indexSequential index for the associated firm name.Integer
regulatory_drp_ap_is_sec_registeredFlag if the associated person/firm is SEC registered.Boolean
regulatory_drp_ap_is_sec_registered_indexIndex for the SEC registration flag.Integer
regulatory_drp_ap_sec_registration_numberSEC registration number for the associated person.String
regulatory_drp_ap_sec_registration_number_indexIndex for the SEC registration number.Integer
regulatory_drp_filed_disclosure_nameName of the individual or entity in the disclosure.String
regulatory_drp_filed_disclosure_name_indexIndex for the disclosure name.Integer
regulatory_drp_filed_disclosure_crd_numberCRD number in the regulatory disclosure.Integer
regulatory_drp_filed_disclosure_crd_number_indexIndex for the disclosure CRD number.Integer
regulatory_drp_filed_disclosure_numberOfficial case or file number for the disclosure.String
regulatory_drp_filed_disclosure_number_indexIndex for the disclosure file number.Integer
regulatory_disclosure_typeHigh-level category of regulatory disclosure.String
regulatory_disclosure_drp_typeSpecific sub-category/type of the regulatory DRP.String
civil_judicial_drp_filed_countTotal number of civil judicial DRPs being filed.Integer
civil_judicial_drp_filed_count_indexSequential index for the civil DRP count.Integer
civil_judicial_drp_responding_to_questionQuestion reference for the civil DRP.String
civil_judicial_drp_responding_to_question_indexIndex for the civil DRP question reference.Integer
civil_judicial_drp_ap_firm_nameName of the firm associated with the civil DRP.String
civil_judicial_drp_ap_firm_name_indexIndex for the civil DRP firm name.Integer
civil_judicial_drp_ap_is_sec_registeredFlag for SEC registration in civil context.Boolean
civil_judicial_drp_ap_is_sec_registered_indexIndex for the civil SEC registration flag.Integer
civil_judicial_drp_filed_disclosure_nameName of individual/entity in civil disclosure.String
civil_judicial_drp_filed_disclosure_name_indexIndex for the civil disclosure name.Integer
civil_judicial_drp_filed_disclosure_crd_numberCRD number in the civil disclosure.Integer
civil_judicial_drp_filed_disclosure_crd_number_indexIndex for the civil disclosure CRD.Integer
civil_judicial_drp_filed_disclosure_numberCourt case number for the civil disclosure.String
civil_judicial_drp_filed_disclosure_number_indexIndex for the civil case number.Integer
civil_judicial_disclosure_typeCategory of the civil judicial disclosure.String
civil_judicial_disclosure_drp_typeSpecific sub-category for civil judicial DRP.String

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