Retirement Plan Advisor Data

Data Fields Available

Every retirement plan advisors record includes verified contact information and regulatory data sourced from FINRA, SEC, and state regulatory databases.

• Identity: Full name, CRD number, firm name, firm CRD
• Registration: License type, registration status, regulatory body (SEC vs state)
• Credentials: CFP, CFA, ChFC, CIMA, AEP, and other professional designations
• Financials: AUM range (from SEC ADV filings), fee structure
• Contact: Verified email, direct phone, mailing address
• Compliance: Disclosure history, complaint records, regulatory actions

How We Source Retirement Plan Advisors Data

Advisors and consultants specializing in employer-sponsored retirement plans. 401(k), pension, ERISA compliance, plan design and investment selection.

We pull registration records from FINRA BrokerCheck and SEC IAPD, then enrich each record with verified contact information from multiple commercial and public sources. Every email is deliverability-tested. Every phone number is checked for connectivity. Inactive registrations are flagged or excluded.

Common Use Cases

Teams selling compliance technology, fintech platforms, insurance products, and advisory services use Fiducia retirement plan advisors data for targeted outreach. Custodians use it for RIA recruitment. Recruiting firms use it to source candidates. Asset managers use it to identify distribution partners.