Syndicate Legal Advisory Services provides nationwide legal document preparation services for Registered Investment Advisers (and other institutional investment managers) required to prepare Form 13F under Section 13(f) of the Securities Exchange Act of 1934 and Rule 13f-1. We prepare Form 13F and related supporting materials based on the holdings information, valuation data, and specific instructions you provide.
Documents Commonly Prepared
We prepare a full range of documents associated with a Form 13F filing, including but not limited to:
- Form 13F: Completion of the form, including the cover page (filer identification, reporting period, and summary information) and the information table listing Section 13(f) securities holdings (issuer name, title of class, CUSIP, value, shares or principal amount, investment discretion, and voting authority), based on the data you supply.
- Related Schedules or Attachments: Organization of any supporting schedules or lists of holdings from the information you provide.
- Confidential Treatment Requests: Formatting of any request for confidential treatment of certain information, based on the supporting materials and justifications you supply.
- Amendments: Preparation of amended Form 13F filings, based on the corrected or updated details you provide.
- Related Supporting Materials: Organization of exhibits or attachments incorporating client-supplied holdings data, valuation information, or other materials referenced in the filing.
Documents are prepared for use in connection with electronic filings through the SEC’s EDGAR system (subject to the information you provide). Form 13F is generally required for institutional investment managers that exercise investment discretion over Section 13(f) securities with an aggregate fair market value of at least $100 million on the last trading day of any month of any calendar year; filings are due within 45 calendar days after the end of each calendar quarter (with the initial filing cycle based on the year the threshold is crossed); clients remain fully responsible for determining the filing obligation (including the threshold calculation and investment discretion), the accuracy of holdings and valuations, timely electronic filing via EDGAR, and compliance with all Securities Exchange Act and SEC requirements.
