File|13f

Form 13F Filing Service for Financial Advisors

Data Harvesting

File13F’s data harvesting service is included in the flat $175/quarter filing fee. There is no extra charge for data preparation, CUSIP matching, or multi-custodian consolidation. You provide a raw export from your custodian or portfolio management system — we handle everything else required to build a valid EDGAR XML submission.

Custodian Compatibility

File13F works with position data exported from any major custodian. The quarter-end position file can be delivered as an Excel spreadsheet, CSV, or a PDF account statement — any format your custodian produces is acceptable. Confirmed compatible custodians include:

  • Charles Schwab – Institutional position exports and BDRECPOS aggregate holding files
  • Axos Advisor Services – Quarter-end position reports exported from Axos Advisor Online
  • JPMorgan / J.P. Morgan Advisors – Custody account position files
  • First Clearing (Wells Fargo Clearing Services) – Aggregate holding and individual position exports
  • Fidelity Institutional – WealthCentral and Fidelity Custody and Clearing position reports
  • Pershing (BNY Mellon) – NetX360 position and holdings exports
  • TD Ameritrade Institutional – Veo One position file exports (now transitioning to Schwab)

If your custodian is not listed above, contact us — we work with any firm capable of producing a quarter-end position report, and we can advise on exactly which report to request.

Portfolio Management System Compatibility

If you manage accounts across multiple custodians, or if your investment discretion and voting authority is not conformed across all positions, a portfolio management system (PMS) is often the cleanest single source for aggregated data. File13F accepts exports from all major platforms, including:

  • Orion Portfolio Solutions – Holdings exports by account or household
  • Tamarac (Envestnet) – Position-level and aggregate portfolio reports
  • Advent Software / Black Diamond – Portfolio holdings and composite reports
  • Riskalyze / Nitrogen – Account position exports
  • Morningstar Office – Portfolio holding reports

Portfolio management software is generally the preferred data source when you have multiple custodians, because it allows you to pull a single consolidated export rather than reconciling multiple custodian files.

Multi-Custodian Consolidation

Many RIAs custody assets at more than one firm. Form 13F requires that all positions be reported on a single filing — you cannot file separately by custodian. File13F’s data harvesting process consolidates position data from multiple custodian exports, matches each security to its correct 9-digit CUSIP using the SEC’s 13F eligible securities list, aggregates duplicate holdings by CUSIP, and applies the required value and share thresholds before building the XML. Simply provide the raw exports from each custodian and we handle the reconciliation.

Minimum Required Data Points

Regardless of the source, every position included on a Form 13F requires three data elements:

  • Number of Shares – Aggregate shares held as of the last trading day of the calendar quarter
  • Market Value – Fair market value in thousands of dollars, rounded, as of the last trading day of the quarter
  • CUSIP – The 9-digit CUSIP identifier for the security (ticker symbols are acceptable if CUSIP is unavailable; we will look up the CUSIP against the SEC’s required securities list)

Not sure which report to pull or how to format your data? Contact us before your filing deadline — we can walk you through exactly where to find the right export in your custodian’s or PMS’s interface.

Once your data is ready, learn about our filing process or view our simple $175/quarter pricing.