Outsourcing your Form 13F filing to File13F means your compliance team hands off the technical preparation and submission workflow — custodian data collection, CUSIP validation, XML formatting, EDGAR submission, and error resolution — for a flat fee of $175 per quarter. File13F serves firms seeking filing support; it is not a 13F holdings database or investment-research platform.
File13F is listed in the Kitces AdvisorTech Directory — the leading independent resource for RIA technology recommendations. Kitces is the most widely read publication in the financial advisory industry.
Why RIAs Outsource Their Form 13F Filing
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. Once the applicable reporting cycle begins, preparing a report involves cross-referencing period-end positions against the SEC's official 13F securities list, formatting data into EDGAR-compliant XML, and submitting through EDGAR within the applicable deadline.
Still evaluating the threshold? Use the free Form 13F threshold calculator for a browser-local educational screen.
Most RIA compliance teams handle Form 13F alongside many other obligations. Outsourcing reduces the data-preparation and XML workload while preserving human review and approval.
An Agent-Guided Form 13F Filing Workflow, Reviewed by People
File13F uses software agents to help organize source data, match positions to the SEC's Section 13(f) securities list, identify unresolved fields, and prepare validation and review materials. A person reviews exceptions and filing output, and the manager approves the filing before any submission. This AI-assisted workflow supports technical preparation and filing operations; it does not make legal conclusions or independently authorize an EDGAR transmission.
What's Included at $175/Quarter
File13F's flat-fee service covers everything from raw data to confirmed EDGAR submission:
- Custodian data collection — We work with position files from Schwab, Axos, JPMorgan, First Clearing, and any other custodian or portfolio management system
- CUSIP cross-referencing — Every position is validated against the SEC's current quarter 13F securities list
- Discretion and threshold filtering — We apply investment discretion classifications, voting authority, and the small holdings exception correctly
- EDGAR XML formatting — Your filing is built to the SEC's exact schema requirements
- Pre-submission validation — We catch errors before they reach EDGAR, not after
- Direct EDGAR submission — We file on your behalf and you receive confirmation from EDGAR
- Filed data delivery — You receive a copy of your complete filed information table
Who We Work With
File13F serves registered investment advisors, RIA compliance firms, and EDGAR filing agents across the United States, completing hundreds of Form 13F filings every year. Our clients range from firms just crossing the $100 million threshold for the first time to established managers who have outsourced their 13F for years. We also assist firms that need to catch up on delinquent filings or file amendments to previously submitted reports.
How the Process Works
Getting started takes one business day. You securely upload your quarter-end position file — from your custodian or portfolio management software — via our secure upload portal. We process it, build the XML, validate it, and submit to EDGAR. You receive EDGAR's confirmation email and a copy of your filed data. The entire workflow requires minimal time from your team.
Frequently Asked Questions About Outsourcing 13F
Do I lose control of the filing if I outsource? No. Your compliance officer reviews and approves the information table before we submit. You remain the responsible party — we handle the technical execution.
What if EDGAR rejects the filing? Rejections are rare because we validate before submission, but if one occurs, we diagnose and resubmit at no additional cost.
Can you handle multiple custodians? Yes. Multi-custodian data reconciliation is one of the most common reasons firms outsource. We consolidate position data from all your custodians into a single compliant filing.
What if I've never filed before? We handle first-time filers regularly. We'll confirm your EDGAR Next access, walk through your firm's account structure, and ensure your first filing is correct.
Ready to take Form 13F off your plate? Contact File13F to get started, or review our simple $175/quarter pricing.