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At File|13F we are compliance experts and help hundreds of financial advisory firms file and manage the 13F compliance. If you have a question or need help, reach out to us.
The Securities and Exchange Commision (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 get or create a compliant form 13f report?
Reports must be created and uploaded in XML format for upload to the SEC upload site. You can create an XML format from a spreadsheet using tools like X, or X. In addition, some Portfolio Management Systems export compliant XML reports.
What happens if I fail to file a 13F?
If you’re an institutional financial advisory firm that manages over $100M in AUM and you fail to file, you may be in violation United Stated Code (USC) and subject to resources outlined therein, including but not limited to fines, imprisonment or loss of license.
Where do I file?
Your compliant XML file is uploaded to the SEC using their file submission tool.
What is the filing deadline?
Form 13Fs need to be filed quarterly.
What is an “institutional advisor”?
An institutional advisor is any person or company that manages money on behalf of someone else.
So what is a form 13F?
Form 13F is a required reporting form for institutional investment managers to increase public availability of securities holdings. It is part of the SEC’s EDGAR system. The disclosure was intended to increase investor confidence in the integrity of the United States securities markets and would be useful information to regulatory bodies. Additionally, it is intended to gain transparency for regulators to monitor security market controls.
Does your financial advisory firm need to file a 13F?
The rule known as the “13F rule” requires all institutional financial advisory firms that manage over $100M in AUM in any fiscal quarter file a 13F with the SEC.