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.
In response to a significant increase in the number of registered closed-end funds that invest in private funds (CE-FOPF), as well as the evolution of the SEC’s oversight of both registered funds and private fund advisers, the SEC announced in Accounting and Disclosure Information (ADI) stating that its staff will no longer provide comments requesting the registrant either (i) include accredited investor status and minimum investment requirements, or (ii) limit its private fund investments to 15 percent of its assets.
On August 25, 2025, the Fifth U.S. Circuit Court of Appeals remanded two rules adopted during the Biden administration, giving hedge fund associations a partial victory. The rules were not vacated. However, the Securities and Exchange Commission (“SEC”) must now review them in light of the court’s opinion.
