Tip: Check 13F filings for your favourite funds (US) - Investing - Forums (2024)

FAQs

How to track 13F filings? ›

You can search for and retrieve Form 13F filings using the SEC's EDGAR database. To find the filings of a particular money manager, enter the money manager's name in the Company Name field. To see all recently filed 13Fs, use the "Latest Filings" search function and enter "13F" in the Form Type box.

13F Filing is a quarterly report required by the Securities and Exchange Commission (SEC) from financial institutions with assets of over $100 million. Institutions such as hedge funds, mutual funds and pension funds are required to disclose their total holdings of assets.

Hedge funds fall under the definition of "institutional investment managers", which SEC guidelines use to determine who is required to submit SEC form 13F filings. This means any fund with at least $100,000,000 assets under management is legally required to submit their form every quarter.

One of the best ways to discover what investment managers and hedge funds are buying in their portfolios is to dig up their Form 13F.

Q: Who must file Form 13F? A: Institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) 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.

The SEC's Form 13F must be filed quarterly by institutional investment managers with at least $100 million in assets under management.

Overall, Form 13F filings are an important resource for investors as they provide insights into the investment activity of large institutional investors and can help to inform investment decisions.

Institutional investment managers are required to submit a 13F form to the SEC if they hold or manage more than $100 million in securities that fall under the agency's 13F category. These securities include shares of stocks that trade on the Nasdaq Stock Exchange and the New York Stock Exchange (NYSE).

13F-HR is the 13F Holdings Report and is used when all of your applicable securities are on the report. The 13F-HR can also be the 13F Combination Report which is used when some of your applicable securities are on the report and some are on someone else's report.

Do family offices have to file 13F? ›

Therefore, a family office, even if it is not required to register under the Advisers Act, may nevertheless be an “institutional investment manager” for purposes of Section 13(f), and therefore be required to make filings on Form 13F.

5. Key Differences between Form 13F and Schedule 13G: - Reporting Threshold: Form 13F applies to institutional investment managers with at least $100 million in assets, while Schedule 13G applies to investors who hold more than 5% of a company's outstanding shares.

How to Get the Latest 13F of a Particular Company. Go to SEC EDGAR System company search website and type the company or fund name in the form. It helps if you know the fund or management company by exact name.

Central to their role, prime brokers allow hedge funds to borrow securities and increase their leverage, while also acting as an intermediary between hedge funds and counterparties such as pension funds and commercial banks.

If your market outlook is bullish, you will need a specific reason to expect a hedge fund to beat the index. Conversely, if your outlook is bearish, hedge funds should be an attractive asset class compared to buy-and-hold or long-only mutual funds.

As long as you exceed the $100 million filing threshold in a given year (and meet other requirements established in Section 13(f) and Rule 13f-1), your firm will be required to continue filing quarterly Form 13Fs throughout the following year (i.e., within 45 days of quarter-end).

For example, the forms do not include short positions, derivatives, or other securities that may be held by the manager. So the investor looking at a Form 13F will not see the whole picture. We should also emphasize that the 13F filing comes out 45 days after the end of a quarter.

Form 13F is a quarterly report that certain “institutional investment managers” must file if they exercise “investment discretion” with respect to accounts holding “Section 13(f) securities” (generally US publicly traded securities) having an aggregate value of at least $100 million.