Get detailed profile for an investment adviser by CRD number. Includes firm info, AUM, client types, compensation, and compliance flags. Professional tier adds full executive list, private funds, and disciplinary details. Use search_advisers first to find the CRD number.
Part of the SEC Intelligence server.
Free to start. No card required.
AI agents call get_adviser_profile to retrieve information from SEC Intelligence without modifying any data. This is common in research, monitoring, and reporting workflows where the agent needs context before taking action. Because read operations don't change state, they are generally safe to allow without restrictions -- but you may still want rate limits to control API costs.
Even though get_adviser_profile only reads data, uncontrolled read access can leak sensitive information or rack up API costs. An agent caught in a retry loop could make thousands of calls per minute. A rate limit gives you a safety net without blocking legitimate use.
Read-only tools are safe to allow by default. No rate limit needed unless you want to control costs.
{
"version": "1",
"default": "deny",
"tools": {
"get_adviser_profile": {}
}
}See the full SEC Intelligence policy for all 9 tools.
These attack patterns abuse exactly the kind of access get_adviser_profile gives an agent. Each links to the full case and the policy that stops it:
Other read tools across the catalogue. The same approach applies to each: allow, with a rate cap to control cost.
Get detailed profile for an investment adviser by CRD number. Includes firm info, AUM, client types, compensation, and compliance flags. Professional tier adds full executive list, private funds, and disciplinary details. Use search_advisers first to find the CRD number.. It is categorised as a Read tool in the SEC Intelligence MCP Server, which means it retrieves data without modifying state.
Register the SEC Intelligence MCP server in PolicyLayer and add a rule for get_adviser_profile: allow, deny, rate-limit, or require approval. Point your MCP client at the PolicyLayer proxy URL and the rule is enforced on every call, before it reaches SEC Intelligence. Nothing to install.
get_adviser_profile is a Read tool with low risk. Read-only tools are generally safe to allow by default.
Yes. Add a rate_limit block to the get_adviser_profile rule in your PolicyLayer policy. For example, setting max: 10 and window: 60 limits the tool to 10 calls per minute. Rate limits are tracked per agent session and reset automatically.
Set action: deny in the PolicyLayer policy for get_adviser_profile. The AI agent will receive a policy violation error and cannot call the tool. You can also include a reason field to explain why the tool is blocked.
get_adviser_profile is provided by the SEC Intelligence MCP server (edgartools/sec-intelligence). PolicyLayer sits as a proxy in front of this server to enforce policies before tool calls reach the server.
Deterministic rules across all 9 SEC Intelligence tools. Per-identity grants. Full audit log. Live in minutes. Nothing to install.
Free to start. No card required.
4,600+ MCP servers and 31,000+ tools scanned and risk-classified.