dct:creator |
dct:license |
dct:rights |
fr-fin-ref:AssetUnderManagementType |
fr-fin-ref:AUM_Discretionary |
fr-fin-ref:AUM_MonetaryAmount |
fr-fin-ref:AUM_Non_Discretionary |
fr-fin-ref:AUM_Total |
fr-fin-ref:FeeBasedInvestmentAdvice - A defined subclass of Investment Advice to break down the rules logic. Service instances of Investment Advice should be tagged by the applicable Fee Types. |
fr-fin-ref:hasAssetMonetaryAmount |
fr-fin-ref:hasAssetUnderManagementMonetaryAmount |
fr-fin-ref:hasCentralRegistrationDepositoryNumber |
fr-fin-ref:IAA_misc_charity |
fr-fin-ref:IAA_misc_charity_fund |
fr-fin-ref:IAA_misc_church_fund |
fr-fin-ref:IAA_misc_church_plan |
fr-fin-ref:IAA_misc_eligible_soon |
fr-fin-ref:IAA_misc_Family_office |
fr-fin-ref:IAA_misc_foreign_based |
fr-fin-ref:IAA_misc_internet_adviser |
fr-fin-ref:IAA_misc_less_than_15_clients |
fr-fin-ref:IAA_misc_multi_state_adviser |
fr-fin-ref:IAA_misc_Pension_Consultant |
fr-fin-ref:IAA_misc_pension_plan |
fr-fin-ref:IAA_misc_Qualified_Investor |
fr-fin-ref:IAA_misc_same_state_client |
fr-fin-ref:IAA_misc_SEC_Private_Fund_Adviser |
fr-fin-ref:IAA_misc_Small_Business |
fr-fin-ref:IAA_misc_Small_Business_affiliate |
fr-fin-ref:IAA_misc_Small_Business_license |
fr-fin-ref:IAA_miscellaneous - These are classifiers for investment advisers, services and clients. This is effectively a shortcut to assess regulatory criteria. For example, the IAA classifier "less than 15 clients" is asserted for an Investment Adviser. However in a production environment, this information could be inferred by actually counting the clients. |
fr-fin-ref:IAA_miscellaneousClassificationScheme |
fr-fin-ref:InvestmentAdvice - A FIBO Financial Service subclass for services provided by investment advisers. |
fr-fin-ref:InvestmentAdvice_SEC_Type_FinancialPlaning |
fr-fin-ref:InvestmentAdviceSEC_Type |
fr-fin-ref:InvestmentAdviceSEC_Type_AdviserSelectionServices |
fr-fin-ref:InvestmentAdviceSEC_Type_Educational |
fr-fin-ref:InvestmentAdviceSEC_Type_MarketTiming |
fr-fin-ref:InvestmentAdviceSEC_Type_Other |
fr-fin-ref:InvestmentAdviceSEC_Type_PensionConsulting |
fr-fin-ref:InvestmentAdviceSEC_Type_PortfolioManagement_Businesses |
fr-fin-ref:InvestmentAdviceSEC_Type_PortfolioManagement_Individuals |
fr-fin-ref:InvestmentAdviceSEC_Type_PortfolioManagement_InvestmentCompanies |
fr-fin-ref:InvestmentAdviceSEC_Type_PortfolioManagement_PooledInvestmentVehicles |
fr-fin-ref:InvestmentAdviceSEC_Type_Publication |
fr-fin-ref:InvestmentAdviceSEC_Type_SecurityRatingPricing |
fr-fin-ref:InvestmentAdviser |
fr-fin-ref:InvestmentFund - A.k.a. Investment vehicle. The superclass for collective/pooled investment vehicles/funds. This is a union of FIBO Management Company and Investment Trust. |
fr-fin-ref:MiscellaneousClassificationScheme_IAA - Any classifiers for "other" classifications. The classifiers are shortcuts that may be removed in the future. |
fr-fin-ref:PrivateFund |
fr-fin-ref:PrivateFundAdviser - The equivalent class definition covers both the asserted value (i.e. already set in the data feed) and the inferrence that the adviser manages Private Funds. |
fr-fin-ref:QualifiedInvestor - Right now, the class restriction assumes that the status is asserted for the investor. This can be expanded to evaluate the individual criteria such as net worth, income, legal entity type. |
fr-fin-ref:SecuritiesAdvice - A defined subclass of Investment Advice to break down the rules logic. Service instances of Investment Advice should be tagged as involving the Financial Product Securities. |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-0 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-1 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-10 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-11 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-12 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-13 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-14 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-15 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-16 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-17 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-18 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-19 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-2 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-20 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-21 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-22 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-23 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-24 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-25 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-26 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-27 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-28 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-29 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-3 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-30 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-31 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-32 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-33 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-34 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-35 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-36 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-37 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-38 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-39 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-4 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-40 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-41 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-42 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-43 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-44 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-45 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-46 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-47 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-48 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-49 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-5 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-6 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-7 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-8 |
fr-ia-firm-sec:InvestmentAdvice_Generic-r-0-9 |
fr-ia-firm-sec:InvestmentAdviser-r-0-0 |
fr-ia-firm-sec:InvestmentAdviser-r-0-1 |
fr-ia-firm-sec:InvestmentAdviser-r-0-10 |
fr-ia-firm-sec:InvestmentAdviser-r-0-11 |
fr-ia-firm-sec:InvestmentAdviser-r-0-12 |
fr-ia-firm-sec:InvestmentAdviser-r-0-13 |
fr-ia-firm-sec:InvestmentAdviser-r-0-14 |
fr-ia-firm-sec:InvestmentAdviser-r-0-15 |
fr-ia-firm-sec:InvestmentAdviser-r-0-16 |
fr-ia-firm-sec:InvestmentAdviser-r-0-17 |
fr-ia-firm-sec:InvestmentAdviser-r-0-18 |
fr-ia-firm-sec:InvestmentAdviser-r-0-19 |
fr-ia-firm-sec:InvestmentAdviser-r-0-2 |
fr-ia-firm-sec:InvestmentAdviser-r-0-20 |
fr-ia-firm-sec:InvestmentAdviser-r-0-21 |
fr-ia-firm-sec:InvestmentAdviser-r-0-22 |
fr-ia-firm-sec:InvestmentAdviser-r-0-23 |
fr-ia-firm-sec:InvestmentAdviser-r-0-24 |
fr-ia-firm-sec:InvestmentAdviser-r-0-25 |
fr-ia-firm-sec:InvestmentAdviser-r-0-26 |
fr-ia-firm-sec:InvestmentAdviser-r-0-27 |
fr-ia-firm-sec:InvestmentAdviser-r-0-28 |
fr-ia-firm-sec:InvestmentAdviser-r-0-29 |
fr-ia-firm-sec:InvestmentAdviser-r-0-3 |
fr-ia-firm-sec:InvestmentAdviser-r-0-30 |
fr-ia-firm-sec:InvestmentAdviser-r-0-31 |
fr-ia-firm-sec:InvestmentAdviser-r-0-32 |
fr-ia-firm-sec:InvestmentAdviser-r-0-33 |
fr-ia-firm-sec:InvestmentAdviser-r-0-34 |
fr-ia-firm-sec:InvestmentAdviser-r-0-35 |
fr-ia-firm-sec:InvestmentAdviser-r-0-36 |
fr-ia-firm-sec:InvestmentAdviser-r-0-37 |
fr-ia-firm-sec:InvestmentAdviser-r-0-38 |
fr-ia-firm-sec:InvestmentAdviser-r-0-39 |
fr-ia-firm-sec:InvestmentAdviser-r-0-4 |
fr-ia-firm-sec:InvestmentAdviser-r-0-40 |
fr-ia-firm-sec:InvestmentAdviser-r-0-41 |
fr-ia-firm-sec:InvestmentAdviser-r-0-42 |
fr-ia-firm-sec:InvestmentAdviser-r-0-43 |
fr-ia-firm-sec:InvestmentAdviser-r-0-44 |
fr-ia-firm-sec:InvestmentAdviser-r-0-45 |
fr-ia-firm-sec:InvestmentAdviser-r-0-46 |
fr-ia-firm-sec:InvestmentAdviser-r-0-47 |
fr-ia-firm-sec:InvestmentAdviser-r-0-48 |
fr-ia-firm-sec:InvestmentAdviser-r-0-49 |
fr-ia-firm-sec:InvestmentAdviser-r-0-5 |
fr-ia-firm-sec:InvestmentAdviser-r-0-6 |
fr-ia-firm-sec:InvestmentAdviser-r-0-7 |
fr-ia-firm-sec:InvestmentAdviser-r-0-8 |
fr-ia-firm-sec:InvestmentAdviser-r-0-9 |
fr-leg-ref:Form_ADV |
fr-leg-ref:Form_ADV_gen |
fr-rule-iaa:Defined_Ex_USC_s80b_2_a_11_Business - For the Fund Regulation prototype, the SEC Firm report and Sample data simply load into subclasses of FIBO Business. The equivalet class definition can be expanded for a deeper more complex evaluation |
fr-rule-iaa:Defined_Ex_USC_s80b_2_a_11_Compensation - For the Fund Regulation prototype, the equivalent class is simply being a FIBO Financial Service Provider (asserted in the SEC FIrm & Sample data load) and providing fee based advice. The equivalet class definition can be expanded to examine actual fees charged, rather than providing a fee based service offering. |
fr-rule-iaa:Defined_Ex_USC_s80b_2_a_11_Securities_Advice - For the Fund Regulation prototype, the equivalent class is simply being a FIBO Financial Service Provider (asserted in the SEC FIrm & Sample data load) and providing Securities Advice (advice service offering that involves Securities). |
fr-rule-iaa:DefiningCondition - For the Investment Adviser Act, the subclasses define Functional Business Entities as Advisers, if they meet the U.S. Code § 80b–2 - 11 Definitions: For Compensation, being in the Business or Providing Securities advice. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_A_Bank - In the Fund Regulation prototype, excluded banks are the Federal Reserve member banks (instantiated in FIBO) and a Savings & Loan company (asserted in the Sample data). |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_B_Professional - In the Fund Regulation prototype has a sample data record "Jayzed Data Models" asserted as professional service provider. The equivalet class definition can be expanded to examine lawyer, accountant, engineer, teacher individually. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_C_Broker_Dealer - FIBO has a deep taxonomy of more than 60 Service Provider subclasses. However these are mostly primitive rather than defined classes. Thus Broker Dealer is asserted by the source system rather than inferred by the reasoner. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_D_Publisher - FIBO has a deep taxonomy of more than 60 Service Provider subclasses. However these are mostly primitive rather than defined classes. Thus being a Publisher is asserted by the source system rather than inferred by the reasoner. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_E_Government_Securities_only - In the Fund Regulation prototype has a sample data record for an adviser, who only offers government bond advice. A more complex definition would examine the portfolio holdings of managed funds. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_F_Rating_Organization - In the Fund Regulation prototype has a sample data records for Moody's and Standard and Poors asserted as Rating Agency. The equivalet class definition can be expanded to examine criteria under the Securities Exchange Act of 1934 [15 U.S.C. 78c (a)(12)] in full. We would simply change Rating Agency to a defined class. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_G_Family_Office - A shortcut. We just have the Family Office already classifiied in the Sample Data. The equivalent class definition can be expanded to formally define what cirteria a "family office" must fulfill. |
fr-rule-iaa:Excluded_Ex_USC_s80b_2_a_11_H_other - An example of a "future use" condition. Nothing is equivalent to the condition. Once there are other exclusion (in the Code of Federal Regulations), we can update the equivalent class expression and the rule will be considered. |
fr-rule-iaa:ExcludingCondition - For the Investment Adviser Act, the subclasses define Functional Business Entities as Excluded from Adviser definition, if they meet the U.S. Code § 80b–2 - 11 Exclusions A through H: "Investment Adviser means ... ;but does not include" (banks, broker dealers, publishers etc.) |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_1_Private_Fund_same_state - A simplification that assumes the source system provides the legal assessment. The equivalent class definition can be expanded to actually compare the FIBO Primary Address of the adviser and all its clients. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_2_Insurance_clients - A simplification for the Fund Regulation Prototype and the limited sample data. We don't examine the type of contract and whether the adviser has contracts with non-insurers. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_3_Foreign_private |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_4_A_charitable_client - As a simplification for the Fund Regulation Prototype and the limited sample data, we assume the client in the FIBO Service agreement is tagged as a charity (foundation). This can be expanded to examine the full definition of trustee, director, officer etc. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_4_B_charity_fund_80a_3c_10_B - This assumes that the investors are already asserted as Non-Profits in the FIBO load. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_4_C_Trust - This assumes that the load into FIBO assters the fund to be a Trust. As a simplification, we don't examine trustees, administrators setlers or beneficiaries. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_5_Church_plan - This assumes that the managed company as tagged as a church plan in the FIBO load. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_6_Commodity_Trading_Advisor - A simplification for the Fund Regulation Prototype and the limited sample data. We don't examine Primary Business in full. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_7_A_Small_Business - A simplification for the Fund Regulation Prototype. We assume the adviser is already tagged in the FIBO load. This can be expanded to examine the nature of Business Development Company. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_7_B_Small_Business_license - A simplification for the Fund Regulation Prototype. We assume the adviser is already tagged in the FIBO load. This can be expanded to examine the notice and license qualification. |
fr-rule-iaa:Exempted_Ex_USC_s80b_3_b_7_C_Small_Business_affiliate - A simplification for the Fund Regulation Prototype. We assume the adviser is already tagged in the FIBO load. This can be expanded to actually validate the affiliation and license aplication. |
fr-rule-iaa:ExemptingCondition - For the Investment Adviser Act, the subclasses define Functional Business Entities as Exempted from Adviser definition, if they meet the criteria in U.S. Code § 80b–3 (b) - Investment advisers who need not be registered. |
fr-rule-iaa:Filing_Consequence |
fr-rule-iaa:FinancialCondition - For the Investment Adivisor Act Registration requirements, the Financial Conditions subsume FIBO Business Entities. The property chain regulated_as (considered_by and applies) links the Business Entity directly to a Financial Status.. |
fr-rule-iaa:FinancialDefinitionRule - fro-leg-ref:hasCodeReference point to U.S. Code § 80b–2 - Definitions |
fr-rule-iaa:FinancialExclusionRule - fro-leg-ref:hasCodeReference point to U.S. Code § 80b–2 - Exclusions |
fr-rule-iaa:FinancialExemptionRule - fro-leg-ref:hasCodeReference point to U.S. Code § 80b–3 - Exemptions |
fr-rule-iaa:FinancialProhibitionRule - fro-leg-ref:hasCodeReference points to U.S. Code § 80b–3a Prohibitions and CFR 275.203A-2 Exemption from Prohibition |
fr-rule-iaa:FinancialRule - Legal Reasoning on the Investment Adviser Act infers new Status Codes for Business Entities. For expample:
Vanguard is regulated_as Defined_Investment_Adviser.
The object property fro-leg-ref:regulated as is a property chain [jc-core:considered_by, jc-core:applies].
The Financial Rules is the link in this property chain. The Financial Condition is consided_by the rule, which applies the status. |
fr-rule-iaa:FinRule_Prohibited_USC_80b-3a_a_1_A_state_regulated_small_adviser |
fr-rule-iaa:FinRule_Prohibited_USC_80b-3a_a_2_B_mid-sized_adviser |
fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_a_pension_consultant |
fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_b_registered_company_adviser |
fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_c_eligible_120_days |
fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_d_multi_state |
fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_e_internet |
fr-rule-iaa:FR_Defined_USC_s80b_2_a_11_Business |
fr-rule-iaa:FR_Defined_USC_s80b_2_a_11_Compensation |
fr-rule-iaa:FR_Defined_USC_s80b_2_a_11_Securities_Advice |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_A_Bank |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_B_Professional |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_C_Broker_Dealer |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_D_Publisher |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_E_Government_Securities_only |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_F_Rating_Organization |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_G_Family_Office |
fr-rule-iaa:FR_Excluded_USC_s80b_2_a_11_H_other |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_1_Private_Fund_same_state |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_2_Insurance_clients |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_3_Foreign_private |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_4_A_Charitable_client |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_4_B_Charity_fund |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_4_C_Trust |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_5_Church_plan |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_6_Commodity_Trading_Advisor |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_7_A_small_business |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_7_B_small_business_license |
fr-rule-iaa:FR_Exempted_USC_s80b_3_b_7_C_small_business_affiliate |
fr-rule-iaa:LC_Registration_Defined_USC_s80b_2_a_11 |
fr-rule-iaa:LC_Registration_Excluded_USC_s80b_2_a_11 |
fr-rule-iaa:LC_Registration_Exempt_USC_80b_3_b |
fr-rule-iaa:LC_RegistrationProhibited_USC_s80b_3a |
fr-rule-iaa:LC_Required_to_File_Form_ADV |
fr-rule-iaa:LC_Required_to_Register_USC_s80b |
fr-rule-iaa:Legal_Status_Defined - For the Fund Ontology Investment Advisor Act, status instances indicate that the FIBO Functional Business Entity matches the Investment Adviser Definition. |
fr-rule-iaa:Legal_Status_Excluded - For the Fund Ontology Investment Advisor Act, status instances indicate that the FIBO Functional Business Entity is excluded from the Investment Adviser Definition. |
fr-rule-iaa:Legal_Status_Exempted - For the Fund Ontology Investment Advisor Act the status instances that the FIBO Functional Business Entity is exempted from registration with the Securities & Exchange Commission. |
fr-rule-iaa:Legal_Status_Prohibited - For the Fund Ontology Investment Advisor Act the status instances that the FIBO Functional Business Entity is prohibited from registration with the Securities & Exchange Commission. (i.e. a small/medium adviser subject to state regulation) |
fr-rule-iaa:Legal_Status_Prohibition_Defined - For the Fund Ontology Investment Advisor Act the status instances that the FIBO Functional Business Entity is a small/mid-size advisor prohibited from registration with the Securities & Exchange Commission. (unless exempted from prohibition) |
fr-rule-iaa:Legal_Status_Prohibition_Exempted - For the Fund Ontology Investment Advisor Act the status instances that the FIBO Functional Business Entity is exempted from registration prohibition. It must file with the Securities & Exchange Commission. Note: We always set this status, where applicable, even if the entity is a large adviser not meeting the Definition of Prohibited Advisors. |
fr-rule-iaa:LegalCondition - For the Investment Adviser Act the Legal Conditions conclude on registration Definition, Exclusion, Exemption and Prohibition.
In general a Defined Investment Adviser must register with the Securities and Exchange Commission, unless the adviser is excluded, exempted to prohibited.
The SEC website provides a good overview: General Information on the Regulation of Investment Advisers (rdfs:seeAlso) |
fr-rule-iaa:LR_USC_80b_3_b_Exemption |
fr-rule-iaa:LR_USC_s80b_2_a_11_Definition |
fr-rule-iaa:LR_USC_s80b_2_a_11_Exclusion |
fr-rule-iaa:LR_USC_s80b_3a_Prohibition |
fr-rule-iaa:LR_USC_s80b_Required_to_Register |
fr-rule-iaa:LS_Defined_USC_s80b_2_a_11 |
fr-rule-iaa:LS_Defined_USC_s80b_2_a_11_Business |
fr-rule-iaa:LS_Defined_USC_s80b_2_a_11_Compensation |
fr-rule-iaa:LS_Defined_USC_s80b_2_a_11_Securities_Advice |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_A_Bank |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_B_Professional |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_C_Broker_Dealer |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_D_Publisher |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_E_Government_Securities_only |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_F_Rating_Organization |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_G_Family_Office |
fr-rule-iaa:LS_Excluded_USC_s80b_2_a_11_H_other |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_1_Private_Fund_same_state |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_2_Insurance_clients |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_3_foreign_private |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_4_A_charitable_client |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_4_B_charity_fund_80a_3c_10_B |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_4_C_less_than_fifteen_clients |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_5_church_plan |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_6_Commodity_Trading_Adviser |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_7_A_small_business |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_7_B_small_business_license |
fr-rule-iaa:LS_Exempted_USC_s80b_3_b_7_C_small_business_affiliate |
fr-rule-iaa:LS_Prohibited_USC_80b-3a_a_1_A_state_regulated_small_adviser |
fr-rule-iaa:LS_Prohibited_USC_80b-3a_a_2_B_mid-sized_adviser |
fr-rule-iaa:LS_Prohibited_USC_80b-3a_a_2_B_mid-sized_adviser_1 |
fr-rule-iaa:LS_Prohibition_Exempted_CFR_275_203_A_2_a_pension_consultant |
fr-rule-iaa:LS_Prohibition_Exempted_CFR_275_203_A_2_b_registered_company_adviser |
fr-rule-iaa:LS_Prohibition_Exempted_CFR_275_203_A_2_c_eligible_120_days |
fr-rule-iaa:LS_Prohibition_Exempted_CFR_275_203_A_2_d_multi_state |
fr-rule-iaa:LS_Prohibition_Exempted_CFR_275_203_A_2_e_internet |
fr-rule-iaa:Prohibited_Ex_USC_s80b-3a_a_1_A_State_Regulated_small_Adviser - The segmentation of advisers by asset size itself can be useful beyond the legal rule. Therefore it is designed as an extension to FIBO rather than LKIF. |
fr-rule-iaa:Prohibited_Ex_USC_s80b-3a_a_2_B_State_Regulated_mid_size_Adviser - The segmentation of advisers by asset size itself can be useful beyond the legal rule. Therefore it is designed as an extension to FIBO rather than LKIF. |
fr-rule-iaa:Prohibitiion_Defined |
fr-rule-iaa:ProhibitingCondition - For the Investment Adviser Act, the subclasses define Functional Business Entities as Prohibited from registration with the Securities & Exchange Commission, if they meet the criteria in U.S. Code § 80b–3a (a) and are not exempted from prohibition under CFR 275.203 A-2 |
fr-rule-iaa:Prohibition_Exempted |
fr-rule-iaa:Prohibition_Exempted_Ex_CFR_275_203_A_2_a_pension_consultant - For the Fund Regulation Prototype, we simply assume that the adviser is tagged as a pension consultant. This can be expanded to consider the aggregate value and type pf plans. |
fr-rule-iaa:Prohibition_Exempted_Ex_CFR_275_203_A_2_b_registered_company_adviser - The Registered Company is defined as an extension to FIBO rather than LKIF. |
fr-rule-iaa:Prohibition_Exempted_Ex_CFR_275_203_A_2_c_eligible_120_days - A shortcut. We don't examine the details of registration status with the states. |
fr-rule-iaa:Prohibition_Exempted_Ex_CFR_275_203_A_2_d_multi_state - For the Fund Regulation Prototype we simply expect the source (sample data) to have this classified. A more comprehensive rule can examine the number of states that the adviser must register with. |
fr-rule-iaa:Prohibition_Exempted_Ex_CFR_275_203_A_2_e_internet - The assumption is that the commission has approved internet status for the adviser. |
fr-rule-iaa:RegistrationDefined |
fr-rule-iaa:RegistrationExcluded |
fr-rule-iaa:RegistrationExempted |
fr-rule-iaa:RegistrationProhibited |
fr-rule-iaa:RegistrationRequired |
fr-rule-iaa:RegulatedManagementCompany |
fr-rule-iaa:Relevant_Ex_USC_s80b-3a_a_1_Prohibited |
fr-rule-iaa:Relevant_Ex_USC_s80b_2_a_11_Definition |
fr-rule-iaa:Relevant_Ex_USC_s80b_2_a_11_Exclusion |
fr-rule-iaa:Relevant_Ex_USC_s80b_2_a_11_Required_to_Register |
fr-rule-iaa:Relevant_Ex_USC_s80b_3_b_Exemption |
fr-rule-iaa:SEC_Large_Adviser |
fr-rule-iaa:SEC_Mid_Adviser |
fr-rule-iaa:SEC_Small_Adviser |
fr-samp-data:AUM_MonetaryAmount_1 |
fr-samp-data:AUM_Stratton_Private_fund |
fr-samp-data:Black_Rock_Fund_Advisers - Sample record based on large ETF manager |
fr-samp-data:Brattleboro_SL_generic_banking_services |
fr-samp-data:East_Jamaica_Nationwide - A fictitious Vermont Investment Manager |
fr-samp-data:East_Jamaica_services |
fr-samp-data:Heartvellville_services |
fr-samp-data:Heartvellville_tiny_advisory - A fictitious Vermont Investment Manager |
fr-samp-data:InsuranceCompany_State_Farm |
fr-samp-data:Investor_GreenMountainPensons - A fictitious Vermont Pension Fund |
fr-samp-data:iShares_MSCI_Emerging_Markets_ETF - Sample record of an ETF |
fr-samp-data:iShares_MSCI_Emerging_Markets_ETF_Share |
fr-samp-data:Issuer_iShares_MSCI_Emerging_Markets_ETF |
fr-samp-data:Jacksonville_Advisors - A fictitious Vermont Investment Manager |
fr-samp-data:Jacksonville_Growth_Fund - A fictitious Vermont Investment Fund |
fr-samp-data:Malboro_charity_portfolios - A fictitious Vermont Investment Manager |
fr-samp-data:Malboro_Charity_services |
fr-samp-data:Malboro_Foundation |
fr-samp-data:Malboro_Foundation_Agreement |
fr-samp-data:Malboro_Non_Profit |
fr-samp-data:Manchester_Family_Office_adviser - A fictitious Vermont Investment Manager |
fr-samp-data:Manchester_Family_office_advivers_AUM |
fr-samp-data:Manchester_Family_Offices_services |
fr-samp-data:Manchester_Family_Portfolio |
fr-samp-data:Mount_Snow_Pension_Plan_Advisers - A fictitious Vermont Investment Manager |
fr-samp-data:Mount_Snow_services |
fr-samp-data:New_Jacksonville_services |
fr-samp-data:New_York_Stock_Exchange |
fr-samp-data:PSP_Jayzed_Data_Models |
fr-samp-data:Publisher_Bloomberg |
fr-samp-data:RatingAgency_Moodys |
fr-samp-data:RatingAgency_SandP |
fr-samp-data:Readsboro_Insurance_Portfolio_Managers - A fictitious Vermont Investment Manager |
fr-samp-data:Readsboro_large_Portflio_Services |
fr-samp-data:Readsboro_small_Portflio_Services |
fr-samp-data:Readsboro_small_Portfolio_Managers - A fictitious Vermont Investment Manager |
fr-samp-data:Readsboro_StateFarm_Agreement |
fr-samp-data:SavingsAndLoanAssociation_Brattleboro_SL - A sample Financial Service Provider record. As a bank Brattleboro S&L should be excluded from registration. |
fr-samp-data:Searsburg_church_advisers - A fictitious Vermont Investment Manager |
fr-samp-data:Searsburg_church_fund - A fictitious Vermont Investment Fund |
fr-samp-data:Searsburg_commodity_advice |
fr-samp-data:Searsburg_Commodity_Traders - As a commodity trading adviser, Searsburg should be exempted from registration |
fr-samp-data:Searsburg_services |
fr-samp-data:Service_State_Farm_generic |
fr-samp-data:Stamford_Charity_Fund |
fr-samp-data:Stamford_Charity_Fund_advisers - A fititious Vermont investment Adviser who only manages charity funds. |
fr-samp-data:Stratton_Private_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:Stratton_Private_Fund_advisers - A fictitious Vermont Investment Manager |
fr-samp-data:Stratton_Private_Fund_services |
fr-samp-data:The_New_Jacksonville_Advisers - A fictitious Vermont Investment Manager |
fr-samp-data:The_Vermont_Fund - A fictitious Vermont Investment Fund |
fr-samp-data:Thing_1 |
fr-samp-data:Thing_2 |
fr-samp-data:Wardsboro_Online_Advisers - A fictitious Vermont Investment Manager |
fr-samp-data:Wardsboro_services |
fr-samp-data:West_Dover_small_business - A fictitious Vermont Investment Manager |
fr-samp-data:West_Dover_small_business_affiliates - A fictitious Vermont Investment Manager |
fr-samp-data:West_Dover_small_business_investment_service |
fr-samp-data:West_Halifax_services |
fr-samp-data:WestHalifax_Europe_based_investors - A fictitious Vermont Hedge Fund |
fr-samp-data:WestHalifax_foreign_wealth - A fictitious Vermont Investment Manager |
fr-samp-data:Whitingham_Alpha_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:Whitingham_Beta_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:Whitingham_Delta_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:Whitingham_Epsilon_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:Whitingham_Gamma_fund - A fictitious Vermont Hedge Fund |
fr-samp-data:WhitinghamWealth_advisers - A fictitious Vermont Investment Manager |
fr-samp-data:WhitinghamWealthServices |
fr-samp-data:Wilmington_Gilt_Edge_Advice |
fr-samp-data:Wilmington_Widows_Orphans_Trust - A fictitious Vermont Investment Manager |
fr-samp-data:Windham_County_Firefighter_Retirement - A fictitious Vermont Investment Fund |
fr-samp-data:Windham_County_Teacher_Retirement - A fictitious Vermont Investment Fund |
fr-samp-data:Woodford_Brokerage |
fr-samp-data:Woodford_Brokerage_generic_services |
fro-cfr:CFR_Annual_Edition_2016_Title_12 |
fro-cfr:CFR_Annual_Edition_2016_Title_17 |
fro-cfr:CFR_Chapter |
fro-cfr:CFR_Component |
fro-cfr:CFR_Edition - A collection class for CFR sections and paragraphs. This is to differentiate CFR from other regulations. E.g. the European Alternative Investment Fund Managers Directive will be a sibling to this class. |
fro-cfr:CFR_Note |
fro-cfr:CFR_Parapraph |
fro-cfr:CFR_Part |
fro-cfr:CFR_Section |
fro-cfr:CFR_Title |
fro-cfr:CFR_Title-12 |
fro-cfr:CFR_Title-12_Chapter-2 |
fro-cfr:CFR_Title-12_Part-217 |
fro-cfr:CFR_Title-12_Part-225 |
fro-cfr:CFR_Title-12_Part-252 |
fro-cfr:CFR_Title-17 |
fro-cfr:CFR_Title-17_Chapter-2 |
fro-cfr:CFR_Title-17_Part-275 |
fro-cfr:CFR_Volume |
fro-cfr:CFR_Volume-3 |
fro-cfr:CodeFederalRegulations |
fro-cfr:Definitional_Expression_US_Dodd_Frank_Act |
fro-cfr:Definitional_Expression_US_Investment_Adviser_Regulation |
fro-cfr:hasAuthorizationText |
fro-cfr:hasCFR_ComponentText |
fro-cfr:hasChapterText |
fro-cfr:hasNoteText |
fro-cfr:hasParagraphEnumText - CFR ontology denomalized the USLM Enum into this data property. |
fro-cfr:hasParagraphText |
fro-cfr:hasPartText |
fro-cfr:hasRuleText |
fro-cfr:hasSectionCitation - The Code of Federal Regulations (CFR) ontology denomalizes the USLM class into this data property. |
fro-cfr:hasSectionNumber |
fro-cfr:hasSectionSubject |
fro-cfr:hasVolumeText |
fro-cfr:US_Government_Publishing_Office |
fro-fin-ref:ClassificationScheme_ServiceFee |
fro-fin-ref:ClassificationScheme_ServiceType |
fro-fin-ref:FinancialProduct_Securities |
fro-fin-ref:Foundation |
fro-fin-ref:hasBusinessName - Note that we would find the Legal Name with FIBO Autonomous Agent |
fro-fin-ref:hasIncorporationDate |
fro-fin-ref:hasReportField |
fro-fin-ref:isContractParty |
fro-fin-ref:isGovernedBy |
fro-fin-ref:isPartyInRole - Make it easier to navigate from a Business Entity to its contracts in class restrictions. |
fro-fin-ref:isPrincipal |
fro-fin-ref:isRegulatedBy |
fro-fin-ref:Jayzed_consulting_service - A sample professional service |
fro-fin-ref:MiscellaneousClassificationScheme |
fro-fin-ref:PensionInvestmentAdviser - The equivalent class definition is simplified. |
fro-fin-ref:ProfessionalService |
fro-fin-ref:ProfessionalServiceProvider |
fro-fin-ref:RatingAgency - The Securities and Exchange Commission exempts "nationally recognized statistical rating organizations" from registration as investment advisers. |
fro-fin-ref:Report - FRO uses this subclass of FIBO Document for financial statements and reports. The Report is also a subclass of the LKIF Document, because LKIF and FIBO Document are equivalent classes. The report must have a Date or Time Period |
fro-fin-ref:ServiceClassificationScheme - There are two instances: Service Fee Type and Service Type |
fro-fin-ref:ServiceFeeType |
fro-fin-ref:ServiceFeeType_AssetPercentage |
fro-fin-ref:ServiceFeeType_Commissions |
fro-fin-ref:ServiceFeeType_Fixed |
fro-fin-ref:ServiceFeeType_Hourly_Charges |
fro-fin-ref:ServiceFeeType_Other |
fro-fin-ref:ServiceFeeType_PerformanceBased |
fro-fin-ref:ServiceFeeType_Subscription |
fro-fin-ref:ServiceType - The values correspond to Securities and Exchange Commission classification of financial services. |
fro-fin-ref:ServiceType_Account |
fro-fin-ref:ServiceType_Brokerage |
fro-fin-ref:ServiceType_Consulting |
fro-fin-ref:ServiceType_Government_Bond_Advice |
fro-fin-ref:ServiceType_InvestmentAdvice |
fro-leg-ref:Act_of_Law_1940_InvestmentAdvisorAct |
fro-leg-ref:Act_of_Law_Dodd_Frank |
fro-leg-ref:Chapter - The defined class enables generic queries across the specific USC and CFR chapter. |
fro-leg-ref:ChapterDivision - The defined class enables generic queries, without having to differntiate between Part and Subchapter. |
fro-leg-ref:Codification - An instances of this class of this class is the release of US Code. The Office of the Law Revision Council is the actor. The medium is the fro-uslo:UnitedStatesCode a LKIF Statute. |
fro-leg-ref:Definitional_Expression_US_AdvisorAct |
fro-leg-ref:divided_by |
fro-leg-ref:divides |
fro-leg-ref:DocumentComponent |
fro-leg-ref:DocumentEdition |
fro-leg-ref:DocumentTitle |
fro-leg-ref:ExecutiveBody |
fro-leg-ref:GovernmentOffice |
fro-leg-ref:GovernmentPublication - This is the LKIF Process of Grovernment Publishing. The medium is the actual text of the Law or Regulation. The outcome is a Definitional Expression. |
fro-leg-ref:hasCodeReference |
fro-leg-ref:hasComponentIdentifier |
fro-leg-ref:hasComponentName |
fro-leg-ref:hasComponentText |
fro-leg-ref:hasDate - The FR ontology converts the USLM Reference into this data property. The format is identical to the hasIdentifierText. |
fro-leg-ref:hasEditionText |
fro-leg-ref:hasForm |
fro-leg-ref:hasSequenceNumber |
fro-leg-ref:hasTitleText |
fro-leg-ref:LegalForm |
fro-leg-ref:Legislative_Body_US_Congress |
fro-leg-ref:OfficeLawRevisionCouncil |
fro-leg-ref:Paragraph - The defined class enables generic queries across the specific USC and CFR paragraphs. |
fro-leg-ref:refered_by - The inverse of refers_to. This has the Elements that point to the instance. |
fro-leg-ref:refers_to - The data property points to the Document Element (range) that the instance (domain) refers to. Subproterties are (plain) Element, Chapeau and Note references. |
fro-leg-ref:refers_toNote - The data property points to the USC_Notes (range) that the instance (domain) refers to. |
fro-leg-ref:regulated_as |
fro-leg-ref:Regulation_AIFMD |
fro-leg-ref:Regulation_InvestorAdvisersAct |
fro-leg-ref:RegulatoryAuthority |
fro-leg-ref:Rulemaking - An instances of this class of this class are Notices of Public Rulemaking. SEC or FED are the actors tied to the release of rule. The rulemaking bears the text, a LKIF medium. |
fro-leg-ref:Rulemaking_IAA_Amended_2012 |
fro-leg-ref:Section - The defined class enables generic queries across the specific USC and CFR sections. |
fro-leg-ref:SupervisoryMandate |
fro-leg-ref:USC_114-156 |
fro-leg-ref:USC_114-219 |
fro-ref:hasSourceInstance - The object property range points to the CFR/USC element instance. This facilitates lineage from an instance in the target ontology to the CFR_FDSys_Schema or USC schema element instance. |
fro-ref:hasTargetInstance - The object property range points to the Code_Federal_Regulations or United_States_Code element instance. |
fro-us-leg-ref:Definitional_Expression__WallStreet_Reform |
fro-us-leg-ref:Definitional_Expression_US_Dodd_Frank_Act |
fro-us-leg-ref:Definitional_Expression_US_Investment_Adviser_Regulation |
fro-us-leg-ref:Federal_Reserve |
fro-us-leg-ref:Rulemaking_WallStreet_Reform |
fro-us-leg-ref:SecuritiesExchangeCommission |
http://fundontology.com/fr/data/FundSampleData.ttl#Brattleboro_S&L_services |
iapd-sec-cr:AddrType |
iapd-sec-cr:AnswerYNType |
iapd-sec-cr:AYNT_N |
iapd-sec-cr:AYNT_Y |
iapd-sec-cr:busNm |
iapd-sec-cr:cIKNb |
iapd-sec-cr:city |
iapd-sec-cr:cntry |
iapd-sec-cr:cntryNm |
iapd-sec-cr:Decimal14P2Datatype |
iapd-sec-cr:Decimal17P2Datatype |
iapd-sec-cr:dt |
iapd-sec-cr:email |
iapd-sec-cr:EnumeratedValue |
iapd-sec-cr:faxNb |
iapd-sec-cr:FCT_ERA |
iapd-sec-cr:FCT_Registered |
iapd-sec-cr:filingRef |
iapd-sec-cr:FilingType |
iapd-sec-cr:FirmCdType - Elements of this type represent the business type.
Allowed values (code-Name) are:
Registered-Registered Firms.
ERA-Exempt Reporting Adviser firms. |
iapd-sec-cr:firmCrdNb |
iapd-sec-cr:firmRef |
iapd-sec-cr:FirmReport - The class structure has been reverse engineered from the IAPDSECCompilationReport.xsd XML schema and integrated into LKIF/FRO Legal Document, Legal Form. We load the XML report data into this structure. |
iapd-sec-cr:firmsRef |
iapd-sec-cr:firmType |
iapd-sec-cr:formInfoRef |
iapd-sec-cr:formVrsn |
iapd-sec-cr:genOn |
iapd-sec-cr:hasFirmReportField |
iapd-sec-cr:hasFirmReportReference |
iapd-sec-cr:IAPDFirmSECReport - The Compilation Report contains information for any firm that currently holds an approved-equivalent registration with the SEC, or currently hold an ERA-Active status with the SEC, and has filed a Form ADV.The question numbers correspond to Form ADV version 10/2012. |
iapd-sec-cr:IAPDFirmSECReportType |
iapd-sec-cr:IAPDFirmSECReportType-firms - There is one instance of this class for each report. The object property iapd-sec-cr:firmRef links to instances of iapd-sec-cr:SECFirmType, which is the root for a firm filing. |
iapd-sec-cr:infoRef |
iapd-sec-cr:Int10Datatype |
iapd-sec-cr:Int38Datatype |
iapd-sec-cr:Int3Datatype |
iapd-sec-cr:Int8Datatype |
iapd-sec-cr:item10ARef |
iapd-sec-cr:Item10AType |
iapd-sec-cr:item11ARef |
iapd-sec-cr:Item11AType |
iapd-sec-cr:item11BRef |
iapd-sec-cr:Item11BType |
iapd-sec-cr:item11CRef |
iapd-sec-cr:Item11CType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item11DRef |
iapd-sec-cr:Item11DType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item11ERef |
iapd-sec-cr:Item11EType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item11FRef |
iapd-sec-cr:Item11FType |
iapd-sec-cr:item11GRef |
iapd-sec-cr:Item11GType |
iapd-sec-cr:item11HRef |
iapd-sec-cr:Item11HType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item11Ref |
iapd-sec-cr:Item11Type |
iapd-sec-cr:item1Ref |
iapd-sec-cr:Item1Type - The answers are to l,M,N, O are object properties to instances of the anwerYNType class. The LEI is an xsd:string
Web addresses are reference to instances of the Item1Type-webAddrs class. |
iapd-sec-cr:Item1Type-webAddrs |
iapd-sec-cr:item2ARef |
iapd-sec-cr:Item2AType - Part 1A Item 2A has Yes/No questions about the firms assets, offices, and advisory business. The questions are modeled as object properties with the range of AnswerYNType. |
iapd-sec-cr:item2BRef |
iapd-sec-cr:Item2BType |
iapd-sec-cr:item3ARef |
iapd-sec-cr:Item3AType |
iapd-sec-cr:item3BRef |
iapd-sec-cr:Item3BType |
iapd-sec-cr:item3CRef |
iapd-sec-cr:Item3CType - The class has object properties relating to the SEC state codes and Country names. |
iapd-sec-cr:item5ARef |
iapd-sec-cr:Item5AType |
iapd-sec-cr:item5BRef |
iapd-sec-cr:Item5BType - The responses are modeled as a xsd:integer (10) |
iapd-sec-cr:item5CRef |
iapd-sec-cr:Item5CType - Response (1) has a string field and a free from text. |
iapd-sec-cr:item5DRef |
iapd-sec-cr:Item5DType - The information is stored in xsd:string, but can be transformed into semantic of the brackets. |
iapd-sec-cr:item5ERef |
iapd-sec-cr:Item5EType - The answers are Yes/No fields. Fundontology transforms this into object properties to classification codes that apply. (see FR_IA_Firm.ttl) |
iapd-sec-cr:item5FRef |
iapd-sec-cr:Item5FType - The answers are stored as object properties to interger (10) for the number and decimal (17,2) for amounts. |
iapd-sec-cr:item5GRef |
iapd-sec-cr:Item5GType - The answers are object properties to the anwerYNType class. Fundontology transforms this into object properties to classification codes that apply. (see FR_IA_Firm.ttl) |
iapd-sec-cr:item5HRef |
iapd-sec-cr:Item5HType |
iapd-sec-cr:item5IRef |
iapd-sec-cr:Item5IType |
iapd-sec-cr:item5JRef |
iapd-sec-cr:Item5JType |
iapd-sec-cr:item6ARef |
iapd-sec-cr:Item6AType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item6BRef |
iapd-sec-cr:Item6BType |
iapd-sec-cr:item7ARef |
iapd-sec-cr:Item7AType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item7BRef |
iapd-sec-cr:Item7BType |
iapd-sec-cr:item8ARef |
iapd-sec-cr:Item8AType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item8BRef |
iapd-sec-cr:Item8BType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item8CRef |
iapd-sec-cr:Item8CType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item8DRef |
iapd-sec-cr:Item8DType |
iapd-sec-cr:item8ERef |
iapd-sec-cr:Item8EType |
iapd-sec-cr:item8FRef |
iapd-sec-cr:Item8FType |
iapd-sec-cr:item8GRef |
iapd-sec-cr:Item8GType |
iapd-sec-cr:item8HRef |
iapd-sec-cr:Item8HType |
iapd-sec-cr:item8IRef |
iapd-sec-cr:Item8IType |
iapd-sec-cr:Item9A1Type - The answers to (1) are object properties to instances of the anwerYNType class. Answers to (2) are decimal (17.2) and integer (38) |
iapd-sec-cr:item9ARef |
iapd-sec-cr:item9BRef |
iapd-sec-cr:Item9BType - The answers to (1) are object properties to instances of the anwerYNType class. Answers to (2) are xsd:decimal (17.2) and xsd:integer (38) |
iapd-sec-cr:item9CRef |
iapd-sec-cr:Item9CType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item9DRef |
iapd-sec-cr:Item9DType - The answers are object properties to instances of the anwerYNType class. |
iapd-sec-cr:item9ERef |
iapd-sec-cr:Item9EType - This is stored as an untyped data property. It can be parsed a string. |
iapd-sec-cr:item9FRef |
iapd-sec-cr:Item9FType |
iapd-sec-cr:ItemAType |
iapd-sec-cr:legalNm |
iapd-sec-cr:mailingAddrRef |
iapd-sec-cr:mainAddrRef |
iapd-sec-cr:NFT_FILED |
iapd-sec-cr:NFT_PENDSEC |
iapd-sec-cr:NFT_TRANS |
iapd-sec-cr:nm |
iapd-sec-cr:noticeFiledRef |
iapd-sec-cr:NoticeFiledType |
iapd-sec-cr:NtcFiledType - Elements of this type represent the business type.
Allowed values (code-Name) are:
TRANS-Transitioning.
FILED-Notice Filed.
PENDSEC-Pending. |
iapd-sec-cr:NtcType - This has regulator, NTC status and date |
iapd-sec-cr:orgFormNm |
iapd-sec-cr:orgFormOthNm |
iapd-sec-cr:part1ARef |
iapd-sec-cr:Part1AType - Here is a full list of populated references:
Object Property Range (target class)
iapd-sec-cr:item1Ref iapd-sec-cr:Item1Type
iapd-sec-cr:item2ARef iapd-sec-cr:Item2AType
iapd-sec-cr:item2BRef iapd-sec-cr:Item2BType
iapd-sec-cr:item3ARef iapd-sec-cr:Item3AType
iapd-sec-cr:item3BRef iapd-sec-cr:Item3BType
iapd-sec-cr:item3CRef iapd-sec-cr:Item3CType
iapd-sec-cr:item5ARef iapd-sec-cr:Item5AType
iapd-sec-cr:item5BRef iapd-sec-cr:Item5BType
iapd-sec-cr:item5CRef iapd-sec-cr:Item5CType
iapd-sec-cr:item5DRef iapd-sec-cr:Item5DType
iapd-sec-cr:item5ERef iapd-sec-cr:Item5EType
iapd-sec-cr:item5FRef iapd-sec-cr:Item5FType
iapd-sec-cr:item5GRef iapd-sec-cr:Item5GType
iapd-sec-cr:item5HRef iapd-sec-cr:Item5HType
iapd-sec-cr:item5IRef iapd-sec-cr:Item5IType
iapd-sec-cr:item5JRef iapd-sec-cr:Item5JType
iapd-sec-cr:item6ARef iapd-sec-cr:Item6AType
iapd-sec-cr:item6BRef iapd-sec-cr:Item6BType
iapd-sec-cr:item7ARef iapd-sec-cr:Item7AType
iapd-sec-cr:item7BRef iapd-sec-cr:Item7BType
iapd-sec-cr:item8ARef iapd-sec-cr:Item8AType
iapd-sec-cr:item8BRef iapd-sec-cr:Item8BType
iapd-sec-cr:item8CRef iapd-sec-cr:Item8CType
iapd-sec-cr:item8DRef iapd-sec-cr:Item8DType
iapd-sec-cr:item8ERef iapd-sec-cr:Item8EType
iapd-sec-cr:item8FRef iapd-sec-cr:Item8FType
iapd-sec-cr:item8GRef iapd-sec-cr:Item8GType
iapd-sec-cr:item8HRef iapd-sec-cr:Item8HType
iapd-sec-cr:item8IRef iapd-sec-cr:Item8IType
iapd-sec-cr:item9ARef iapd-sec-cr:Item9A1Type
iapd-sec-cr:item9BRef iapd-sec-cr:Item9BType
iapd-sec-cr:item9CRef iapd-sec-cr:Item9CType
iapd-sec-cr:item9DRef iapd-sec-cr:Item9DType
iapd-sec-cr:item9ERef iapd-sec-cr:Item9EType
iapd-sec-cr:item9FRef iapd-sec-cr:Item9FType
iapd-sec-cr:item10ARef iapd-sec-cr:Item10AType
iapd-sec-cr:item11ARef iapd-sec-cr:Item11AType
iapd-sec-cr:item11BRef iapd-sec-cr:Item11BType
iapd-sec-cr:item11CRef iapd-sec-cr:Item11CType
iapd-sec-cr:item11DRef iapd-sec-cr:Item11DType
iapd-sec-cr:item11ERef iapd-sec-cr:Item11EType
iapd-sec-cr:item11FRef iapd-sec-cr:Item11FType
iapd-sec-cr:item11GRef iapd-sec-cr:Item11GType
iapd-sec-cr:item11HRef iapd-sec-cr:Item11HType
iapd-sec-cr:item11Ref iapd-sec-cr:Item11Type
|
iapd-sec-cr:phNb |
iapd-sec-cr:postlCd |
iapd-sec-cr:prvtAdrsFl |
iapd-sec-cr:q10A |
iapd-sec-cr:q11 |
iapd-sec-cr:q11A1 |
iapd-sec-cr:q11A2 |
iapd-sec-cr:q11B1 |
iapd-sec-cr:q11B2 |
iapd-sec-cr:q11C1 |
iapd-sec-cr:q11C2 |
iapd-sec-cr:q11C3 |
iapd-sec-cr:q11C4 |
iapd-sec-cr:q11C5 |
iapd-sec-cr:q11D1 |
iapd-sec-cr:q11D2 |
iapd-sec-cr:q11D3 |
iapd-sec-cr:q11D4 |
iapd-sec-cr:q11D5 |
iapd-sec-cr:q11E1 |
iapd-sec-cr:q11E2 |
iapd-sec-cr:q11E3 |
iapd-sec-cr:q11E4 |
iapd-sec-cr:q11F |
iapd-sec-cr:q11G |
iapd-sec-cr:q11H1A |
iapd-sec-cr:q11H1B |
iapd-sec-cr:q11H1C |
iapd-sec-cr:q11H2 |
iapd-sec-cr:q1I |
iapd-sec-cr:q1M |
iapd-sec-cr:q1N |
iapd-sec-cr:q1O |
iapd-sec-cr:q1P |
iapd-sec-cr:q2A1 |
iapd-sec-cr:q2A10 |
iapd-sec-cr:q2A11 |
iapd-sec-cr:q2A12 |
iapd-sec-cr:q2A13 |
iapd-sec-cr:q2A2 |
iapd-sec-cr:q2A3 |
iapd-sec-cr:q2A4 |
iapd-sec-cr:q2A5 |
iapd-sec-cr:q2A6 |
iapd-sec-cr:q2A7 |
iapd-sec-cr:q2A8 |
iapd-sec-cr:q2A9 |
iapd-sec-cr:q2B1 |
iapd-sec-cr:q2B2 |
iapd-sec-cr:q2B3 |
iapd-sec-cr:q3B |
iapd-sec-cr:q5B1 |
iapd-sec-cr:q5B2 |
iapd-sec-cr:q5B3 |
iapd-sec-cr:q5B4 |
iapd-sec-cr:q5B5 |
iapd-sec-cr:q5B6 |
iapd-sec-cr:q5C1 |
iapd-sec-cr:q5C1Oth |
iapd-sec-cr:q5C2 |
iapd-sec-cr:q5D1A |
iapd-sec-cr:q5D1B |
iapd-sec-cr:q5D1C |
iapd-sec-cr:q5D1D |
iapd-sec-cr:q5D1E |
iapd-sec-cr:q5D1F |
iapd-sec-cr:q5D1G |
iapd-sec-cr:q5D1H |
iapd-sec-cr:q5D1I |
iapd-sec-cr:q5D1J |
iapd-sec-cr:q5D1K |
iapd-sec-cr:q5D1L |
iapd-sec-cr:q5D1M |
iapd-sec-cr:q5D1MOth |
iapd-sec-cr:q5D2A |
iapd-sec-cr:q5D2B |
iapd-sec-cr:q5D2C |
iapd-sec-cr:q5D2D |
iapd-sec-cr:q5D2E |
iapd-sec-cr:q5D2F |
iapd-sec-cr:q5D2G |
iapd-sec-cr:q5D2H |
iapd-sec-cr:q5D2I |
iapd-sec-cr:q5D2J |
iapd-sec-cr:q5D2K |
iapd-sec-cr:q5D2L |
iapd-sec-cr:q5D2M |
iapd-sec-cr:q5D2MOth |
iapd-sec-cr:q5E1 |
iapd-sec-cr:q5E2 |
iapd-sec-cr:q5E3 |
iapd-sec-cr:q5E4 |
iapd-sec-cr:q5E5 |
iapd-sec-cr:q5E6 |
iapd-sec-cr:q5E7 |
iapd-sec-cr:q5E7Oth |
iapd-sec-cr:q5F1 |
iapd-sec-cr:q5F2A |
iapd-sec-cr:q5F2B |
iapd-sec-cr:q5F2C |
iapd-sec-cr:q5F2D |
iapd-sec-cr:q5F2E |
iapd-sec-cr:q5F2F |
iapd-sec-cr:q5G1 |
iapd-sec-cr:q5G10 |
iapd-sec-cr:q5G11 |
iapd-sec-cr:q5G12 |
iapd-sec-cr:q5G12Oth |
iapd-sec-cr:q5G2 |
iapd-sec-cr:q5G3 |
iapd-sec-cr:q5G4 |
iapd-sec-cr:q5G5 |
iapd-sec-cr:q5G6 |
iapd-sec-cr:q5G7 |
iapd-sec-cr:q5G8 |
iapd-sec-cr:q5G9 |
iapd-sec-cr:q5H |
iapd-sec-cr:q5HMT500 |
iapd-sec-cr:q5I1 |
iapd-sec-cr:q5I2 |
iapd-sec-cr:q5J |
iapd-sec-cr:q6A1 |
iapd-sec-cr:q6A10 |
iapd-sec-cr:q6A11 |
iapd-sec-cr:q6A12 |
iapd-sec-cr:q6A13 |
iapd-sec-cr:q6A14 |
iapd-sec-cr:q6A14Oth |
iapd-sec-cr:q6A2 |
iapd-sec-cr:q6A3 |
iapd-sec-cr:q6A4 |
iapd-sec-cr:q6A5 |
iapd-sec-cr:q6A6 |
iapd-sec-cr:q6A7 |
iapd-sec-cr:q6A8 |
iapd-sec-cr:q6A9 |
iapd-sec-cr:q6B1 |
iapd-sec-cr:q6B2 |
iapd-sec-cr:q6B3 |
iapd-sec-cr:q7A1 |
iapd-sec-cr:q7A10 |
iapd-sec-cr:q7A11 |
iapd-sec-cr:q7A12 |
iapd-sec-cr:q7A13 |
iapd-sec-cr:q7A14 |
iapd-sec-cr:q7A15 |
iapd-sec-cr:q7A16 |
iapd-sec-cr:q7A2 |
iapd-sec-cr:q7A3 |
iapd-sec-cr:q7A4 |
iapd-sec-cr:q7A5 |
iapd-sec-cr:q7A6 |
iapd-sec-cr:q7A7 |
iapd-sec-cr:q7A8 |
iapd-sec-cr:q7A9 |
iapd-sec-cr:q7B |
iapd-sec-cr:q8A1 |
iapd-sec-cr:q8A2 |
iapd-sec-cr:q8A3 |
iapd-sec-cr:q8B1 |
iapd-sec-cr:q8B2 |
iapd-sec-cr:q8B3 |
iapd-sec-cr:q8C1 |
iapd-sec-cr:q8C2 |
iapd-sec-cr:q8C3 |
iapd-sec-cr:q8C4 |
iapd-sec-cr:q8D |
iapd-sec-cr:q8E |
iapd-sec-cr:q8F |
iapd-sec-cr:q8G1 |
iapd-sec-cr:q8G2 |
iapd-sec-cr:q8H |
iapd-sec-cr:q8I |
iapd-sec-cr:q9A1A |
iapd-sec-cr:q9A1B |
iapd-sec-cr:q9A2A |
iapd-sec-cr:q9A2B |
iapd-sec-cr:q9B1A |
iapd-sec-cr:q9B1B |
iapd-sec-cr:q9B2A |
iapd-sec-cr:q9B2B |
iapd-sec-cr:q9C1 |
iapd-sec-cr:q9C2 |
iapd-sec-cr:q9C3 |
iapd-sec-cr:q9C4 |
iapd-sec-cr:q9D1 |
iapd-sec-cr:q9D2 |
iapd-sec-cr:q9E |
iapd-sec-cr:q9F |
iapd-sec-cr:rgltrCd |
iapd-sec-cr:rgstnRef |
iapd-sec-cr:RgstnType |
iapd-sec-cr:SCT_AK |
iapd-sec-cr:SCT_AL |
iapd-sec-cr:SCT_AR |
iapd-sec-cr:SCT_AZ |
iapd-sec-cr:SCT_CA |
iapd-sec-cr:SCT_CO |
iapd-sec-cr:SCT_CT |
iapd-sec-cr:SCT_DC |
iapd-sec-cr:SCT_DE |
iapd-sec-cr:SCT_FL |
iapd-sec-cr:SCT_GA |
iapd-sec-cr:SCT_GU |
iapd-sec-cr:SCT_HI |
iapd-sec-cr:SCT_IA |
iapd-sec-cr:SCT_ID |
iapd-sec-cr:SCT_IL |
iapd-sec-cr:SCT_IN |
iapd-sec-cr:SCT_KS |
iapd-sec-cr:SCT_KY |
iapd-sec-cr:SCT_LA |
iapd-sec-cr:SCT_MA |
iapd-sec-cr:SCT_MD |
iapd-sec-cr:SCT_ME |
iapd-sec-cr:SCT_MI |
iapd-sec-cr:SCT_MN |
iapd-sec-cr:SCT_MO |
iapd-sec-cr:SCT_MS |
iapd-sec-cr:SCT_MT |
iapd-sec-cr:SCT_NC |
iapd-sec-cr:SCT_ND |
iapd-sec-cr:SCT_NE |
iapd-sec-cr:SCT_NH |
iapd-sec-cr:SCT_NJ |
iapd-sec-cr:SCT_NM |
iapd-sec-cr:SCT_NV |
iapd-sec-cr:SCT_NY |
iapd-sec-cr:SCT_OH |
iapd-sec-cr:SCT_OK |
iapd-sec-cr:SCT_OR |
iapd-sec-cr:SCT_PA |
iapd-sec-cr:SCT_PR |
iapd-sec-cr:SCT_RI |
iapd-sec-cr:SCT_SC |
iapd-sec-cr:SCT_SD |
iapd-sec-cr:SCT_TN |
iapd-sec-cr:SCT_TX |
iapd-sec-cr:SCT_UT |
iapd-sec-cr:SCT_VA |
iapd-sec-cr:SCT_VI |
iapd-sec-cr:SCT_VT |
iapd-sec-cr:SCT_WA |
iapd-sec-cr:SCT_WI |
iapd-sec-cr:SCT_WV |
iapd-sec-cr:SCT_WY |
iapd-sec-cr:SECFirmType - Per report there is one instance of this class for every fiming firm. Object properties connect the instance to the main filing structures:
iapd-sec-cr:filingRef iapd-sec-cr:FilingType
iapd-sec-cr:formInfoRef iapd-sec-cr:SECFormInfoType
iapd-sec-cr:infoRef iapd-sec-cr:SECOrgInfoType
iapd-sec-cr:mailingAddrRef iapd-sec-cr:AddrType
iapd-sec-cr:mainAddrRef iapd-sec-cr:AddrType
iapd-sec-cr:noticeFiledRef iapd-sec-cr:NoticeFiledType
iapd-sec-cr:rgstnRef iapd-sec-cr:RgstnType |
iapd-sec-cr:SECFormInfoType - The class doesn't have any data properties. It is just in between SEC Firm Type and Part 1A. |
iapd-sec-cr:sECNb |
iapd-sec-cr:SECOrgInfoType |
iapd-sec-cr:SECRCT_ARO |
iapd-sec-cr:SECRCT_BRO |
iapd-sec-cr:SECRCT_CHRO |
iapd-sec-cr:SECRCT_DRO |
iapd-sec-cr:SECRCT_FWRO |
iapd-sec-cr:SECRCT_HQ |
iapd-sec-cr:SECRCT_LARO |
iapd-sec-cr:SECRCT_MIRO |
iapd-sec-cr:SECRCT_NYRO |
iapd-sec-cr:SECRCT_PLRO |
iapd-sec-cr:SECRCT_SFRO |
iapd-sec-cr:sECRgnCD |
iapd-sec-cr:SECRgnCdType - Elements of this type represent the business type.
Allowed values (code-Name) are:
ARO-Atlanta Regional Office.
BRO-Boston Regional Office.
DRO-Denver Regional Office.
FWRO-Fort Worth Regional Office.
CHRO-Chicago Regional Office.
NYRO-New York Regional Office.
LARO-Los Angeles Regional Office.
PLRO-Philadelphia Regional Office.
SFRO-San Francisco Regional Office.
MIRO-Miami Regional Office.
HQ-Headquarters. |
iapd-sec-cr:SecRgstnStType - Elements of this type represent the business type.
Allowed values (code-Name) are:
APPROVED-Approved.
APPROVED-120-120-Day Approval.
SUSPENDED-Suspended.
ACTIVE-Active. |
iapd-sec-cr:SRST_ACTIVE |
iapd-sec-cr:SRST_APPROVED |
iapd-sec-cr:SRST_APPROVED-120 |
iapd-sec-cr:SRST_SUSPENDED |
iapd-sec-cr:st |
iapd-sec-cr:state |
iapd-sec-cr:stateCD |
iapd-sec-cr:StateCdType - Elements of this type represent the allowed State Codes.
Allowed values (code-Name) are:
AK-Alaska
AL-Alabama
AR-Arkansas
AZ-Arizona
CA-California
CO-Colorado
CT-Connecticut
DC-District of Columbia
DE-Delaware
FL-Florida
GA-Georgia
GU-Guam
HI-Hawaii
IA-Iowa
ID-Idaho
IL-Illinois
IN-Indiana
KS-Kansas
KY-Kentucky
LA-Louisiana
MA-Massachusetts
MD-Maryland
ME-Maine
MI-Michigan
MN-Minnesota
MO-Missouri
MS-Mississippi
MT-Montana
NC-North Carolina
ND-North Dakota
NE-Nebraska
NH-New Hampshire
NJ-New Jersey
NM-New Mexico
NV-Nevada
NY-New York
OH-Ohio
OK-Oklahoma
OR-Oregon
PA-Pennsylvania
PR-Puerto Rico
RI-Rhode Island
SC-South Carolina
SD-South Dakota
TN-Tennessee
TX-Texas
UT-Utah
VA-Virginia
VT-Vermont
WA-Washington
WI-Wisconsin
WV-West Virginia
WY-Wyoming
VI-Virgin Islands |
iapd-sec-cr:statesRef |
iapd-sec-cr:Str10Datatype |
iapd-sec-cr:Str11Datatype |
iapd-sec-cr:Str128Datatype |
iapd-sec-cr:Str20Datatype |
iapd-sec-cr:Str27Datatype |
iapd-sec-cr:Str4000Datatype |
iapd-sec-cr:Str50Datatype |
iapd-sec-cr:Str512Datatype |
iapd-sec-cr:Str64Datatype |
iapd-sec-cr:strt1 |
iapd-sec-cr:strt2 |
iapd-sec-cr:titleNm |
iapd-sec-cr:ttlEmp |
iapd-sec-cr:webAddr |
iapd-sec-cr:webAddrsRef |
skos:definition |
skos:example |
skos:note |
skos:prefLabel |
sm:author |
sm:copyright |