Our proprietary 13F software will import your information from nearly any file format and generate correctly formatted and validated XML data for submission. As always, our knowledgeable staff will help guide you through the filing process. We’ve helped many first-time filers navigate the SEC’s 13F regulations and fulfill their reporting requirements.
As an optional add-on feature, we can filter your list of securities (based on CUSIP numbers) to identify and highlight the following:
Upon receiving your initial list of holdings, we will run your file through the scrubbing process and provide an Excel file with color-coded results identifying the characteristics listed above.
After reviewing the results, you can remove or edit any of the highlighted securities, and return an updated holdings file to us.
We will repeat the scrubbing process until the desired results are achieved, at which point we will provide you a PDF proof of the complete 13F filing for submission approval.
On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of tailored shareholder report implementation. The staff has identified several recurring issues in this report.
On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of Tailored Shareholder Report (TSR) implementation. The staff has identified several recurring issues in this report.
