The most current listing of Section 13(f) securities can be viewed through the SEC’s website. An institutional investment manager must visit this site every quarter to view the most current listing of Section 13(f) securities.
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Will the amount of assets under management reported on my registered investment advisor firm’s Form ADV Part 1 be the same amount reported on Form 13F?
November 02, 2018
Not necessarily. Form 13F will only contain a listing of Section 13(f) securities as determined by the SEC. In fact, smaller holdings of Section 13(f) securities that meet the SEC’s de minimus reporting standards do not need to be reported.
Where can I view Form 13F?
November 02, 2018
Form 13F can be viewed through the SEC’s website.
How do I know if my registered investment advisor must file Form 13F?
November 02, 2018
A registered investment advisor that exercises investment discretion over client accounts will generally meet the definition of institutional investment manager. If the registered investment advisor exercises investment discretion over accounts that buy or sell Section 13(f) securities and the aggregation of 13(f) securities totals at least $100 million, the registered investment advisor will need to begin filing Form 13F.
How frequently must Form 13F be filed?
November 02, 2018
Form 13F must be filed within 45 days of the end of each calendar quarter. The initial report must be filed at the end of the first year in which the institutional investment manager exceeds the $100 million threshold. For example if an institutional investment manager exceeds the $100 million threshold for the first time in July 2007, the firm will need to wait until January 2008 to submit its first report no later than 45 days after December 31. The firm must then file subsequent reports within 45 days of the end of each calendar quarter.
Who meets the definition of an institutional investment manager?
November 02, 2018
An institutional investment manager is an entity that either invests in, or buys and sells, securities for its own account. The term also includes an entity that exercises investment discretion over accounts owned by any other natural person or entity.
What is the purpose of Form 13F?
November 02, 2018
According to the SEC, “the purpose of this disclosure requirement is to collect and disseminate to the public information about the holdings and investment activities of institutional money managers in order to assist investors, issuers and government regulators.” (In the Matter of Quattro Capital Management, LLC, August 15, 2007)
What is required under Section 13(f)?
November 02, 2018
Section 13(f) of the 1934 Act requires institutional investment managers with investment discretion over $100 million or more of certain equity securities to file quarterly reports disclosing their holdings. The quarterly reports are filed on the so called Form 13F.
