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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.
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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. A filer must have valid EDGAR access and authorize the people or filing agent permitted to submit on its behalf. File13F does not ask clients to share passwords, MFA codes, or secret access codes; where required, the filer authorizes File13F through the SEC’s EDGAR Next delegation workflow.
What is the Form 13F filing deadline?
Form 13F is generally due within 45 days after each calendar quarter. For the quarter ended September 30, 2026, the SEC-listed deadline is November 16, 2026. For the quarter ended December 31, 2026, the deadline is February 16, 2027 because February 14 is a Sunday and February 15 is a federal holiday. See the sourced 2026–2028 deadline calendar.
What is an institutional investment manager?
An institutional investment manager is an entity that invests in securities for its own account or a person or entity that exercises investment discretion over another account. Rule 13f-1’s $100 million test concerns the aggregate fair market value of Section 13(f) securities under investment discretion on the last trading day of any month in a calendar year.
What is Form 13F?
Form 13F is a quarterly SEC report used by institutional investment managers subject to Rule 13f-1 to disclose specified Section 13(f) securities. Reports are filed electronically through EDGAR and become public records. The filing cycle and the threshold test are related but distinct.
Does my firm need to file Form 13F?
Rule 13f-1 generally applies when an institutional investment manager exercises investment discretion over Section 13(f) securities with an aggregate fair market value of at least $100 million on the last trading day of any month in a calendar year. The first report is generally for the fourth quarter of that year, followed by reports for the first three quarters of the next year. Use the free Form 13F threshold calculator for an educational screen, and consult qualified legal or compliance counsel for consequential interpretation.
Form 13F answers at a glance
Reviewed October 2, 2026 by the File13F editorial team. SEC sources accessed October 2, 2026. General information only; not legal or compliance advice.
Who must file Form 13F?
An institutional investment manager generally becomes subject to Rule 13f-1 after exercising investment discretion over at least $100 million in Section 13(f) securities on the last trading day of any month in a calendar year. The obligation can apply whether or not the manager is an SEC-registered investment adviser. SEC Form 13F FAQ.
How is the $100 million threshold measured?
The test uses the aggregate fair market value of securities on the SEC’s current Official List of Section 13(f) Securities over which the manager exercises investment discretion. It is measured on the last trading day of each month, not from total firm AUM alone. Use the educational threshold checker.
What are the next adjusted deadlines?
The SEC lists November 16, 2026 for the quarter ended September 30, 2026, and February 16, 2027 for the quarter ended December 31, 2026. Weekend and federal-holiday adjustments are already reflected. See all sourced 2026–2028 deadlines.
What does a filer need for EDGAR Next?
The filer needs valid EDGAR access and must authorize appropriate account users or a filing agent. File13F does not request passwords, MFA codes, or secret access codes. When delegation is needed, the filer’s account administrator approves it through EDGAR Filer Management. Read the delegation guide.
What does File13F do—and not do?
File13F supports data preparation, Section 13(f) security matching, validation, human review, exact-package authorization, EDGAR submission support, and confirmation tracking. File13F does not provide legal or investment advice, independently authorize a filing, or imply that SEC acceptance confirms the filing’s substantive correctness.
What does the $175 price include?
The currently published price is $175 for one quarterly Form 13F filing, including preparation and filing support described on the service page. Each filing is separately authorized. Verify current scope and terms on the pricing page before relying on the price.