AM/TA - Get Investor Details

Details

/external/v1/investor

Synopsis

Get Investor Details

get

This route is used to retrieve the details of investors, given a set of search filters. This endpoint is paginated, up to 25 records can be retrieved per call. This endpoint can be called by applications with access to scope "readInvestor".

Required scopes

This endpoint requires the following scopes:

• : readInvestor

Authorizations

oauth2

OAuth2clientCredentialsRequired

Token URL:

Query parameters

pageSizenumberOptional

The number of rows being retrieved. Must be a positive integer.

offsetnumberOptional

The offset (i.e. row start index). Must be a positive integer (or 0).

extraDataKeyFilterstring · max: 100Optional

The key to search within the extraData property. Will be used in combination with "extraDataValueFilter". If "extraDataValueFilter" is not provided then this property is discarded.

extraDataValueFilterstring · max: 100Optional

The value to search within the extraData property. Will be used in combination with "extraDataKeyFilter". If "extraDataKeyFilter" is not provided then this property is discarded.

investorIdsFilterstringOptional

The comma delimited list of investor ids to filter the investor records. Up to 25 records can be provided. Each record should not exceed 12 characters.

Example: USCCWSF01I00,USCCWSF01I01

investorCorrelationIdsFilterstringOptional

The comma delimited list of investor correlation ids to filter the investor records. Up to 25 records can be provided. Each record should not exceed 100 characters.

Example: 1234,5678,7890

investorCorrelationOrgIdstring · max: 12Optional

The organization identifier linked to the correlation ids provided in the "investorCorrelationIdsFilter" property. If not provided the organization id will be inferred from the access token.

Responses

200

Successfully retrieved investor details

application/json

typeall ofOptional

This defines the type of investor (individual vs legal entity). Must be provided for new investors. This information cannot be updated if investorId is supplied.

Example: individual

string · enumOptional

This defines the type of investor (individual vs legal entity). Must be provided for new investors. This information cannot be updated if investorId is supplied.

Possible values:

accreditationLevelall ofOptional

This defines the investor accreditation level. It is an optional field.

Example: selfAccredited

string · enumOptional

This defines the investor accreditation level. It is an optional field.

Possible values:

isInstitutionalbooleanOptional

True if the investor is to be signaled as an institutional investor. Default is false.

Default: false

hasKYCPassedbooleanOptional

True if the investor has undergone KYC (know your customer) verification. Default is false.

Default: false

isComplianceApprovedbooleanOptional

True if the investor has undergone compliance review and was approved to execute transactions. Default is false

Default: false

is5131RestrictedPersonbooleanOptional

True if the investor wishes to be treated as a "restricted person" for purposes of rule 5130 and FINRA rule 5131 ("rule 5131"). If true, the investor acknowledges and agrees that profits and losses associated with new issues will not be allocated to the account. Default is false

Default: false

namestring · max: 500Optional

The name of the investor. It is optional only if investorId is provided. For new investors it is mandatory.

isNomineebooleanOptional

Indicates whether the investor is a nominee. True if the investor is a nominee, false otherwise. It is optional. Leave empty if not applicable.

Example: true

investorIdstring · max: 12Required

This is the id that uniquely identifies an investor on the ledger. For new investors this should not be provided. To update an existing investor information this should be provided.

statusall ofRequired

The status of the investor.

Example: sync

string · enumOptional

The status of the investor.

Possible values:

fileIdsstring[]Optional

The list of investor document(s) file Id(s). The "Files API" can be used to get the details regarding these files.

Example: ["US9QIFILE1","US9QIFILE2"]

latestUpdateTimestampstring · date-timeOptional

The timestamp of the latest update to this investor. This will match the "timestamp" obtained via investor history endpoint for the latest block where this investor's data was recorded.

Example: 2024-09-12T00:00:00.000Z

400

The following error codes can be returned: - GN0002 - GN0004 - GN0005 Please refer to the error code dictionary for the details of each error code.

application/json

401

The following error codes can be returned: - AU0001 Please refer to the error code dictionary for the details of each error code.

application/json

403

The following error codes can be returned: - AU0002 Please refer to the error code dictionary for the details of each error code.

application/json

get

/external/v1/investor

HTTPcURLJavaScriptPython

GET /external/v1/investor HTTP/1.1
Authorization: Bearer YOUR_OAUTH2_TOKEN
Accept: */*

[
  {
    "extraData": {
      "externalId": "123456789",
      "some": "Custom Property"
    },
    "secureExtraData": {
      "some": "Sensitive Data"
    },
    "type": "individual",
    "accreditationLevel": "selfAccredited",
    "isInstitutional": false,
    "hasKYCPassed": false,
    "isComplianceApproved": false,
    "is5131RestrictedPerson": false,
    "name": "text",
    "individualInfo": {
      "name": "John Doe",
      "dateOfBirth": "2024-09-12",
      "taxId": "123456789",
      "occupation": {
        "role": "Software Engineer",
        "companyName": "Sample Company"
      },
      "residentialAddress": {
        "addressLineOne": "8 Greenway Plaza",
        "addressLineTwo": "Suite 1515",
        "country": "US",
        "state": "Texas",
        "city": "Houston",
        "zipCode": "77046 USA"
      },
      "mailingAddress": {
        "addressLineOne": "8 Greenway Plaza",
        "addressLineTwo": "Suite 1515",
        "country": "US",
        "state": "Texas",
        "city": "Houston",
        "zipCode": "77046 USA"
      },
      "isUsPerson": true,
      "contactInfo": [
        {
          "email": "[email protected]",
          "phoneNumber": "832-426-4242"
        }
      ]
    },
    "legalEntityInfo": {
      "name": "Test Legal Entity",
      "incorporationDate": "2024-09-12",
      "taxId": "123456789",
      "gIIN": "987654321",
      "isGovernmentEntity": true,
      "isSubjectToERISA": false,
      "address": {
        "addressLineOne": "8 Greenway Plaza",
        "addressLineTwo": "Suite 1515",
        "country": "US",
        "state": "Texas",
        "city": "Houston",
        "zipCode": "77046 USA"
      },
      "contactInfo": [
        {
          "email": "[email protected]",
          "phoneNumber": "832-426-4242"
        }
      ],
      "isUsEntity": true,
      "domicileCountry": "US",
      "jurisdictionCountry": "US",
      "type": "LP"
    },
    "FATCAInfo": {
      "fatcaId": "FATCA-123",
      "classification": "FATCA-CLASSIFICATION",
      "status": "FATCA-STATUS",
      "reportCode": "FATCA-EXEMPT",
      "reportedDate": "2024-09-12"
    },
    "formPFData": [
      {
        "type": "unitedStatesPersons",
        "description": "A description of the investor type"
      }
    ],
    "questionnaires": [
      {
        "type": "AccreditedInvestor",
        "title": "US Accredited Investor Questionnaire",
        "questions": [
          {
            "question": {
              "questionId": "q1",
              "questionText": "Are you an accredited investor as defined by the SEC?",
              "answerType": "Boolean"
            },
            "answers": [
              {
                "booleanValue": true
              }
            ]
          },
          {
            "question": {
              "questionId": "q2",
              "questionText": "Please select the criteria under which you qualify as an accredited investor.",
              "answerType": "Choice",
              "allowedAnswerValues": [
                "Income exceeding $200,000 in each of the two most recent years",
                "Net worth exceeding $1 million",
                "Other criteria as defined by the SEC"
              ]
            },
            "answers": [
              {
                "choiceValue": "Net worth exceeding $1 million"
              }
            ]
          },
          {
            "question": {
              "questionId": "q3",
              "questionText": "Please provide any additional information or comments.",
              "answerType": "Text"
            },
            "answers": [
              {
                "textValue": "No additional comments."
              }
            ]
          }
        ]
      }
    ],
    "politicalExposedPerson": {
      "isPoliticalExposed": true,
      "name": "John Doe",
      "governmentCountry": "US",
      "position": "President",
      "relationship": "Father"
    },
    "isNominee": true,
    "taxInfo": {
      "status": "individual",
      "isUsPerson": true,
      "isTaxExempt": false,
      "taxJurisdiction": {
        "country": "US",
        "state": "Texas"
      },
      "taxExemptionCode": "501(c)(3)",
      "taxExemptionCodeDetails": "Some details",
      "entityClassification": {
        "foundationInfo": {
          "isPrivateFoundation": true
        }
      },
      "ultimateOwnershipDetails": {
        "name": "Jane Doe",
        "taxId": "987654321",
        "legalAddress": {
          "addressLineOne": "8 Greenway Plaza",
          "addressLineTwo": "Suite 1515",
          "country": "US",
          "state": "Texas",
          "city": "Houston",
          "zipCode": "77046 USA"
        },
        "companyName": "Another Company",
        "status": "complexTrust",
        "isUsPerson": true,
        "isTaxExempt": false,
        "taxJurisdiction": {
          "country": "US",
          "state": "Texas"
        },
        "taxExemptionCode": "501(c)(3)",
        "taxExemptionCodeDetails": "Some details",
        "entityClassification": {
          "foundationInfo": {
            "isPrivateFoundation": true
          }
        }
      }
    },
    "investorId": "text",
    "organization": {
      "orgId": "TEST1234",
      "name": "Test Organization"
    },
    "status": "sync",
    "fileIds": [
      "US9QIFILE1",
      "US9QIFILE2"
    ],
    "correlationData": [
      {
        "correlationId": "123245573717",
        "origin": "Identifies investor on backoffice",
        "organization": {
          "name": "Test Organization",
          "orgId": "TEST1234"
        },
        "extraData": {
          "some": "Custom Property"
        }
      }
    ],
    "latestUpdateTimestamp": "2024-09-12T00:00:00.000Z"
  }
]