Learn how to aggregate separately managed accounts, handle discretion and voting differences, and avoid duplicate or account-by-account reporting.
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How to Complete the Investment Discretion Section of Form 13F
Learn when to use SOLE, DFND, or OTR in Column 6, when to split a holding into separate rows, and when Column 7 applies.
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How to Sign Up for EDGAR Next and Delegate Filing Authority
Create individual Login.gov credentials, obtain the correct filer role, and delegate filing authority through the current EDGAR Next process.
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How to Complete the EDGAR Annual Confirmation: A Step-by-Step Guide
EDGAR Next requires each filer to confirm its account details and authorized parties annually. Follow the SEC’s dashboard steps and understand the grace period…
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SEC Imposes $500,000 Penalty for Years of Missing Form 13F Filings
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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13F Filing Options Compared: Outsource, In-House, or Fund Admin
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…
Over a Decade of Form 13F Filing Experience
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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What the SEC's 13F Enforcement Sweeps Mean for Your Firm
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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Form 13F Confidential Treatment: How to Keep Holdings Private
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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How to Amend a Form 13F After Filing
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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Form N-PX: The Annual Filing That Comes With Your 13F Obligation
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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EDGAR Next and Form 13F: What Changed and What You Need to Do
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…
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What Happens If You Miss the Form 13F Deadline?
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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In-House vs. Outsourced 13F Filing: What’s Right for Your Firm?
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 …
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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