Form 13F
Form 13F is the holdings report filed through EDGAR by institutional investment managers whose discretionary holdings in Section 13(f) securities exceed the SEC's reporting threshold. Unlike Form PF, 13F filings are public, which makes any error in one visible to anyone who looks.
- Who handles it
- Institutional investment managers whose discretionary holdings in Section 13(f) securities are large enough to cross the SEC's reporting threshold.
- Filed through
- EDGAR
- Applies to
- SEC-registered RIA, Private fund adviser
What the form asks for
- Cover page and manager identifying information
- Summary page with total holdings and value
- Information table listing each Section 13(f) security held
- Confidential treatment requests where applicable
The work behind the filing
Reconcile holdings against the official security list
Only securities on the official Section 13(f) list are reportable, and that list changes. Reconciling the quarter-end position file against the current list is mechanical, error-prone, and public when it goes wrong. Caddi can run the comparison every quarter and produce the exceptions.
Assemble quarter-end positions from the source of record
The information table has to reflect discretionary positions as of quarter end, which means capturing the position file on the date rather than reconstructing it. Caddi can take the snapshot on schedule and retain it with its provenance.
Questions
What is a 13F filing?
Form 13F is a public report of equity holdings filed through EDGAR by institutional investment managers whose discretionary holdings in Section 13(f) securities exceed the SEC's reporting threshold. Because the filings are public, errors in them are visible to clients, competitors, and journalists.
Why do 13F filings get restated?
Usually because of the security master rather than the arithmetic. Identifiers change, an instrument is misclassified as reportable or not, or discretion over an account is recorded inconsistently. Restatements tend to trace back to a mapping problem between the portfolio system and the official securities list.
What work sits behind a 13F filing?
Pulling positions as of the reporting date, mapping every holding against the official list of Section 13(f) securities, confirming which accounts the firm exercises discretion over, aggregating across them, and producing the filing in the required format. It is a data-assembly job that repeats on a fixed rhythm.
Are 13F filings public?
Yes. Unlike Form PF, 13F filings are public, which is why errors in them are visible and frequently noticed.
Does Caddi file this form for me?
No. Caddi does not submit filings to IARD, FINRA Gateway, EDGAR, or any regulator, and it is not a substitute for your compliance program or your CCO. Caddi automates the work around the filing: gathering the underlying data out of your portfolio, CRM, and document systems, reconciling it against the prior filing, flagging what changed, and evidencing delivery. A human still reviews and files.
Related forms
The filing is the easy part
Caddi does not file forms. It runs the work around them: pulling the underlying data out of your portfolio, CRM, and document systems, reconciling it against the prior filing, and evidencing delivery. See it run on your own stack.
See the compliance specialistThis page describes what the form is and the work it creates. For requirements, deadlines, and whether any of it applies to your firm, see SEC — Form 13F.