Sections 13(d), 13(g) & 13(f) Filing Services

Retain RIA Compliance Consultants to help your registered investment adviser firm determine whether it is an institutional money manager exercising discretionary investment authority over $100 million of Section 13(f) securities (primarily exchange traded equities) and is thereby required to file the Form 13F with the SEC via the EDGAR system. Similarly, RIA Compliance Consultants can assist your investment adviser assess whether it has reached the 5% beneficial ownership threshold in a particular equity security subject to Sections 13(d) or 13(g).

Once there’s a determination that your investment adviser firm is required to file pursuant to Sections 13(d), 13(g) or 13(f) of the Securities Exchange Act of 1934, RIA Compliance Consultants can establish your EDGAR account, prepare and file your investment adviser’s Schedules 13D or 13G or quarterly Form 13F, and provide written procedures and training for your firm’s personnel. For more information about these filing requirements, please visit our Frequently Asked Questions About the Form 13F webpage. 

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