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 …
New to 13F Filing? Here’s When Your Firm Must Start — and How to Get Ready
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 …
Investment Discretion and Voting Authority on Form 13F: A Plain-English Guide
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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Form 13F Filing Deadlines: Your Quarterly Calendar for 2026
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 …
5 Common Form 13F XML Errors on EDGAR — And How to Fix Them
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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What Is Form 13F? A Complete Guide for Institutional Investment Managers
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 …
ETF Investing and SEC’s 13F Reporting Requirements
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 …
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Form 13F XML Validation Errors on EDGAR
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 …
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