We work with Registered Investment Advisors, Registered Investment Advisor Compliance Firms and EDGAR Filing Firms to assist with their 13F Filing.
Our custom developed software quickly and efficiently cross references advisor security holding data CUSIPs against the SEC’s quarterly required reporting CUSIP list. We filter through discretionary holdings, voting rights and minimum thresholds to create the information table. Then, the XML file is generated for transmission to the SEC EDGAR 13F filing submission page.
Our clients upload their holdings data from their firm’s portfolio management software or custodian files and we format it into a usable file needed to cross reference the SEC list.
The process is quick and easy and assures you are not over reporting, while also ensuring a submission without errors on the first attempt. The submission will also be accurate, and the “issuer name” and “title of class” fields are in the SEC desired format since it is pulled from the SEC’s original list.