pequod-mcp

pequod-mcp — "the Gam"

SEC-primary-source ETF holdings + identifier crosswalk for agents.

An MCP (Model Context Protocol) server that gives AI agents the complete holdings of any US-registered ETF straight from SEC EDGAR N-PORT filings — not a top-10 scrape — plus a set of identifier-crosswalk tools (ticker, CUSIP/SEDOL, FIGI → resolved symbol) backed by OpenFIGI and SEC reference data. Runs locally over stdio; no vendor market-data subscriptions required.

Tools

Tool	What it does	Sources
lookup_cik	Ticker → SEC CIK + entity metadata (name, SIC, exchanges, fiscal year end)	SEC company_tickers.json + submissions API
resolve_ticker	Raw ticker + optional exchange code → Yahoo-convention symbol, verified	Exchange-suffix map (pure string mapping) + SEC + OpenFIGI
resolve_cusip	CUSIP (or SEDOL) → symbol, with cross-source verification	OpenFIGI (one batched request) + SEC name/ticker agreement
resolve_figi	Bloomberg FIGI → symbol, with cross-source verification	OpenFIGI + SEC name/ticker agreement
get_etf_holdings	Any US ETF → complete holdings list from its latest monthly N-PORT filing (name, ticker, ISIN, FIGI, LEI, shares, USD value, % of net assets, country, currency)	SEC EDGAR N-PORT XML

All tools are read-only.

How verification works

Crosswalk results are verified without any market-data vendor:

1. SEC registry check — if the mapped ticker is a US SEC registrant, the entity title in company_tickers.json must agree with the OpenFIGI security name. A gross name mismatch vetoes the mapping (verification: "name_veto") rather than returning a plausible-looking wrong symbol.
2. OpenFIGI mapping — non-US symbols (outside SEC's registry) verify on the OpenFIGI mapping itself, labeled verification: "openfigi" so you can tell the confidence tiers apart.

Yahoo Finance symbology (.SW, .T, .L, … suffixes) is applied as a pure string convention — the default path makes no network calls to Yahoo.

Install

# with uv
uv pip install pequod-mcp

# or with pip
pip install pequod-mcp

Run it directly (stdio):

pequod-mcp

Optional: OpenFIGI API key

The server works without a key (OpenFIGI anonymous rate limits apply). For heavier use, get a free key at https://www.openfigi.com/api and set:

export API_OpenFIGI="your-key-here"

Optional: Yahoo enrichment extra

An opt-in extra adds a live Yahoo quote block to crosswalk results. It is off by default and never used otherwise; enabling it means you accept the Yahoo Finance terms of use yourself.

pip install 'pequod-mcp[yahoo]'
export PEQUOD_YAHOO_VERIFY=1

Configure in Claude

Claude Desktop (claude_desktop_config.json) or any MCP client with a stdio transport:

{
  "mcpServers": {
    "pequod": {
      "command": "pequod-mcp",
      "env": {
        "API_OpenFIGI": "your-key-here"
      }
    }
  }
}

Claude Code:

claude mcp add pequod -e API_OpenFIGI=your-key-here -- pequod-mcp

Agent workflow examples

1. "What does SCHD actually hold?"

Agent: lookup_cik("SCHD")
  → { cik: "0000884394", entity_name: "SCHWAB STRATEGIC TRUST", found: true }
Agent: get_etf_holdings("SCHD", cik="0000884394")
  → { fund_name, report_date, source_url (the actual EDGAR filing),
      total_holdings: ~100, holdings: [ { name, ticker, isin, figi,
      balance, value_usd, pct_val, ... } ] }

The agent gets every position with weights, plus the EDGAR URL for citation — auditable back to the primary source.

2. "I have a CUSIP from a 13F — what stock is this?"

Agent: resolve_cusip("594918104")
  → { yahoo_symbol: "MSFT", verified: true, verification: "openfigi+sec",
      company_name: "MICROSOFT CORP", cik: "0000789019",
      openfigi: { figi: "BBG000BPH459", ... } }

If OpenFIGI's mapping disagrees with SEC's registry on who the ticker belongs to, the tool refuses (verification: "name_veto") instead of handing back a wrong symbol.

3. "Compare two dividend ETFs' overlap."

Agent: get_etf_holdings("SCHD")   → complete holdings A
Agent: get_etf_holdings("VYM")    → complete holdings B
Agent: joins on isin (or ticker), computes overlap weight, reports the
       shared names — all from two tool calls, both citing SEC filings.

Data provenance

• All holdings data comes from SEC EDGAR primary sources (Form N-PORT filings, the submissions API, and company_tickers.json). Identifier crosswalks come from the OpenFIGI API (FIGI is an open OMG standard).
• No CUSIPs in output. Tool outputs carry ticker, ISIN, FIGI, and LEI; CUSIP fields present in the underlying filings are deliberately stripped.
• SEC fair access respected: a declared User-Agent on every request, a throttle well under EDGAR's published rate limit, and an on-disk cache (.cache/ next to the module, override with PEQUOD_CACHE_DIR) for company_tickers.json (24 h) and N-PORT documents (30 days — filed documents are immutable).
• Fail-loud policy: if EDGAR is unreachable or a filing cannot be parsed, tools return an error. There is no degraded or partial fallback source — you either get filing-backed data or a clear failure.
• N-PORT filings are published on a lag (holdings are typically ~1–2 months behind). The report_date and source_url fields tell you exactly which period you are looking at.
• Not investment advice. This server relays public regulatory filings and open identifier mappings; verify independently before making investment decisions.

Environment variables

Variable	Default	Purpose
API_OpenFIGI	(unset)	OpenFIGI API key (higher rate limits)
PEQUOD_CACHE_DIR	.cache/ next to the module	On-disk cache location
PEQUOD_YAHOO_VERIFY	(off)	Opt-in Yahoo enrichment (needs the [yahoo] extra)
LOG_LEVEL	INFO	Server log verbosity

Development

pip install -e '.[dev]'
pytest            # fully offline — fixture filings, no live network

License

Apache-2.0 — see LICENSE. Copyright 2026 AB Evergreen Analytics LLC.