Form 13F Filing Service for Financial Advisors
Looking for filing support rather than research? Explore File13F’s Form 13F filing service or discuss your firm’s filing.
By Aryn Sands
A September 2026 SEC order imposed a $500,000 penalty after years of missing Form 13F filings. Here are the operational lessons for investment managers and compliance teams…
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By Aryn Sands
Every manager over the $100M threshold handles Form 13F one of three ways: dedicated outsourcing, in-house preparation, or enterprise fund administration. A side-by-side comparison of cost, effort, and risk…
By Aryn Sands
File13F has been filing Form 13F for RIAs and institutional investment managers for over a decade. Here's what ten-plus years of quarterly filings — and every EDGAR change along the way — has taught us…
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By Aryn Sands
The SEC charged 34 firms in 2024 for late and missing Form 13F filings, collecting $7.2 million in penalties. Here's what triggered the sweeps, how the SEC finds non-filers, and why self-reporting matters…
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By Aryn Sands
Form 13F filings are public by default, but certain holdings can be protected through a confidential treatment request. Here's who qualifies, how to apply, and what changed in 2023…
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By Aryn Sands
Discovering an error in a previously filed Form 13F creates an immediate compliance obligation. Here's how 13F-HR/A amendments work, the two types of amendments, and what changed in 2023…
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By Aryn Sands
If your firm is required to file Form 13F, it is also required to file Form N-PX annually by August 31 — even if you don't vote proxies. Here's what it requires and when it applies…
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By Aryn Sands
In September 2025, the SEC replaced EDGAR's legacy authentication system with EDGAR Next — new Login.gov accounts, multi-factor authentication, and updated delegate access for filing agents…
Continue Reading about EDGAR Next and Form 13F: What Changed and What You Need to Do →
By Aryn Sands
The SEC does not grant extensions for Form 13F. Penalties run up to $750,000, and the 2024 enforcement sweeps charged 34 firms $7.2 million. Here's what happens and what to do if you're already late…
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By Aryn Sands
Every institutional investment manager above the $100 million threshold faces the same quarterly decision: who is going to handle the 13F filing, and how? We break down the true costs, risks, and tradeoffs …
By Aryn Sands
Your firm has grown — and with that growth comes a new compliance obligation. Learn exactly when the $100M threshold triggers your Form 13F filing requirement and what to set up before your first deadline …
By Aryn Sands
Every position on your Form 13F requires two separate classifications: investment discretion and voting authority. They are independent of each other — and getting them wrong can misrepresent your firm’s authority to the SEC …
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By Aryn Sands
Missing a Form 13F deadline isn’t just an administrative inconvenience — it can trigger SEC enforcement action. Here are all four 2026 quarterly deadlines plus a 5-week internal preparation timeline …
By Aryn Sands
EDGAR’s 13F validation is unforgiving. A single schema error, a CUSIP with a stripped leading zero, or a non-round market value can reject your entire submission. Here are the five most common errors and how to fix them …
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By Aryn Sands
If your firm manages $100 million or more in qualifying securities, the SEC requires you to file Form 13F every quarter. This guide breaks down who must file, what securities are reportable, key deadlines, and how EDGAR submission works …
By Aryn Sands
Michael Kitces, an investment advisor/financial planning expert, recently shared this article on his site. Our firm reached out to Mr. Kitces in January of this year expressing our concerns that a lot …
Continue Reading about ETF Investing and SEC’s 13F Reporting Requirements →
By Aryn Sands
1. Generally, the three most common validation errors you will see on the EDGAR site are incorrect schema in the XML build (columns in the wrong order, or unexpected outputs in a column, etc.) the …
Continue Reading about Form 13F XML Validation Errors on EDGAR →
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