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Our professional financial data analysts know how to wrangle the most complex data systems to gather your data, compile it into the proper formats and provide it back to you ready to upload. We can also assist you with uploading your filing as you require.
Helpful FAQs
Other questions or concerns?
At File|13F we are compliance experts with over a decade of Form 13F filing experience. We help hundreds of financial advisory firms file and manage their 13F compliance, completing hundreds of filings every year. If you have a question or need help, reach out to us.
The Securities and Exchange Commission (SEC) provides answers to FAQs to help money managers that are required to file Form 13F. You can view them here: https://www.sec.gov/divisions/investment/13ffaq.htm
How do I create a compliant Form 13F report?
Form 13F must be submitted as an SEC-compliant XML file through EDGAR. The XML must pass EDGAR’s validation rules, which cover field formatting, CUSIP validity, value thresholds, and header completeness. Most investment advisors outsource this process to a filing service like File13F, which handles data collection, CUSIP cross-referencing, XML formatting, validation, and EDGAR submission for a flat $175/quarter fee. Some portfolio management systems (such as Orion or Tamarac) can export compliant XML reports directly, though these still require CUSIP validation against the SEC’s current 13F securities list before submission.
What happens if I fail to file a 13F?
Failure to file Form 13F can result in SEC enforcement action under Section 13(f) of the Securities Exchange Act of 1934. Penalties include civil fines, cease-and-desist orders, and in cases of willful violation, potential criminal liability. The SEC has conducted multiple enforcement sweeps specifically targeting 13F non-filers, and late or incomplete filings are also subject to scrutiny. There is no provision for filing extensions — the 45-day deadline after each quarter-end is firm.
Where do I file Form 13F?
Form 13F is filed electronically through the SEC’s EDGAR system at edgar.sec.gov. The filing must be submitted as a properly formatted XML document that passes EDGAR’s built-in validation. Your firm must have an active EDGAR account (CIK number and access codes) before you can submit. File13F handles the EDGAR submission as part of the $175/quarter service — you do not need your own EDGAR credentials.
What is the Form 13F filing deadline?
Form 13F must be filed within 45 days after the end of each calendar quarter. The four annual deadlines are: Q1 (January–March) due May 15, Q2 (April–June) due August 14, Q3 (July–September) due November 16 (shifted from the 14th, a Saturday), and Q4 (October–December) due February 14 of the following year. If a deadline falls on a weekend or federal holiday, it shifts to the next business day. The SEC does not grant extensions.
What is an institutional investment manager?
An institutional investment manager is any entity that invests in, or exercises investment discretion over, accounts holding Section 13(f) securities. This includes registered investment advisors (RIAs), hedge funds, banks, broker-dealers, insurance companies, pension funds, and holding companies. You do not need to be a registered investment advisor to have a 13F filing obligation — the trigger is discretion over $100 million or more in qualifying securities during any fiscal quarter.
What is Form 13F?
Form 13F is a quarterly SEC filing that requires institutional investment managers with $100 million or more in Section 13(f) securities under discretionary management to publicly disclose their equity holdings. The form is part of the SEC’s EDGAR system and was mandated by the Securities Acts Amendments of 1975 to improve transparency about how large asset managers move money through U.S. securities markets. Filed reports become public record approximately 45 days after quarter-end and are widely used by investors, analysts, and regulators to track institutional positioning.
Does my firm need to file Form 13F?
Your firm must file Form 13F if it exercises investment discretion over $100 million or more in Section 13(f) securities during any fiscal quarter. The $100 million threshold is measured on the last trading day of any calendar quarter — if you cross it even once, you are required to file for that quarter and every subsequent quarter until your AUM falls and remains below the threshold. Not sure if you qualify? Contact us for a free obligation assessment — we’ll confirm your filing status and first deadline at no charge.