We help you make EDGAR easy

Over 10% of all 13F filers trust ACN to file their Form 13F quickly and accurately while meeting SEC deadlines.

 
 

Form 13F Filing Agent Service:

  • Streamline the process of compiling an EDGAR formatted report.

  • Filter holdings to exclude non-13F securities.

  • Remove holdings that fall below the minimum reporting requirements.

  • Combine like securities and update Issuer Name and Title of Class info to match the 13F Official List of Securities.

  • Adhere to all SEC/EDGAR requirements and 13F XML specifications.

Form 13F Requirements:

  • Institutional investment managers that use the United States mail in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F. (13F AUM)

  • The SEC defines an institutional investment manager as an entity that either invests in, or buys and sells, securities for its own account. An institutional investment manager is also a natural person or an entity that exercises investment discretion over the account of any other natural person or entity.

  • An institutional investment manager exercises investment discretion if: (i) the manager has the power to determine which securities are bought or sold for the account(s) under management; or (ii) the manager makes decisions about which securities are bought or sold for the account(s), even though someone else is responsible for the investment decisions.

  • The Official List of Section 13(f) Securities primarily includes U.S. exchange-traded stocks (e.g., NYSE, AMEX, NASDAQ), shares of closed-end investment companies, and shares of exchange-traded funds (ETFs). Certain convertible debt securities, equity options, and warrants are on the Official List and may be reported.