How to Outsource Your 13F Filings (and Why Most Firms Already Do)
Every quarter, the same drill: export your holdings, get the data into the right format, filter against the SEC’s official 13F securities list, convert to XML, and submit through EDGAR – hoping it accepts on the first try. It’s time-consuming, it’s unforgiving of mistakes, and the deadline never moves.
There’s a reason more and more firms are handing it off.
In fact, over 10% of all Form 13F filers already work with ACN Solutions to handle their quarterly submissions.
Whether you're a first-time filer figuring out EDGAR access or a seasoned compliance team looking to streamline operations, outsourcing your 13F filings is one of the simplest ways to reduce risk and reclaim your quarter-end bandwidth.
Here's how to do it.
Why Outsource Your 13F Filings?
Before walking through the steps, here’s why outsourcing your 13F filings makes sense in the first place.
Form 13F must be filed in XML format through the SEC's EDGAR system.
That means the spreadsheet you export, probably from a custodian or Excel, isn’t ready as is.
Your data needs to be converted, scrubbed, validated, and formatted so EDGAR will accept it.
The SEC's own EDGAR Filer Manual runs over 1,000 pages, and the Form 13F XML Technical Specifications document adds another layer of complexity.
Data errors can result in inaccurate or rejected submissions. Even a correctly prepared file can get suspended by EDGAR for reasons that aren’t obvious unless you’ve seen them before. Knowing what those suspended notices mean and how to fix them quickly comes from filing hundreds of these every quarter.
When you outsource your 13F filings, you hand off the technical complexity to specialists who do this every day.
You get clean, validated filings submitted on time, without needing to maintain in-house XML expertise or track the periodic EDGAR system releases that update XML specifications and filing rules several times a year.
How to Outsource Your 13F Filings: A Step-by-Step Guide
Step 1: Determine Whether You Actually Need to File 13F
Before you worry about outsourcing your 13F filings, make sure that your firm meets the filing threshold.
You’re required to file Form 13F if you have $100 million or more in Section 13(f) securities at the end of any calendar month.
This applies to RIAs, hedge funds, pension funds, banks, insurance companies, broker-dealers, and any other entity meeting the definition of an institutional investment manager under the Securities Exchange Act.
If you cross the $100 million threshold during a calendar year, your filing obligation begins with the Q4 report for that year and continues, at minimum, through Q3 of the following year. In practice, most managers who cross the threshold stay above it, so the filing obligation becomes ongoing.
Not sure if you have an obligation to file? ACN will analyze your holdings list, identify your 13F securities, determine whether they meet the $100 million threshold, and provide you with a spreadsheet of the results – free of charge. Learn more about how the threshold works.
Step 2: Choose the Right Filing Agent
Here’s what sets ACN apart:
Experience and expertise: Most custodian and portfolio management exports aren’t ready to file as-is. Securities need to be filtered against the official 13F list, de minimis positions backed out, options formatted correctly, and the whole thing converted to XML before it can be submitted through EDGAR. We handle all of it. You send us an Excel file – we take it from there.
Market leader: ACN Solutions has been filing on EDGAR since 1999 and handles more quarterly 13F submissions than any other provider – over 10% of all current filers. We’ve seen just about every variation this form can throw at you – edge cases aren’t edge cases to us.
Responsive, knowledgeable support: When you have a question or need a last-minute change, you’re dealing directly with someone who knows your filing and knows the rules. Proofs back quickly, questions answered – before the deadline, not after.
Step 3: Gather and Send Your Holdings Data
Once you’ve selected a filing agent, export your holdings data in Excel format and send it over. This typically includes:
Security name and CUSIP
Number of shares held
Market value as of the last day of the quarter
Investment discretion type (sole, shared, or none)
Voting authority (sole, shared, or none)
ACN provides a template to make this step as easy as possible.
Step 4: Review the Proof Documents
A reputable filing agent won't submit anything without your approval. After processing your data, they should provide proof documents for your review before filing.
At ACN, this includes a PDF copy of the full report as it will appear in EDGAR, along with an Excel file containing two sheets:
One showing the final information table
The other listing any excluded items, such as non-13F securities, short positions, and de minimis holdings that fall below the reporting threshold.
This review step is your opportunity to catch any discrepancies, confirm excluded positions, and make last-minute adjustments before submission.
Step 5: Approve and File
Once you've reviewed and approved the proof, your filing agent submits the completed Form 13F directly to EDGAR on your behalf.
This means no XML formatting to worry about and no risk of formatting errors derailing your submission at the last minute. You’ll still need your own EDGAR account for periodic requirements like the annual account confirmation, but the actual 13F preparation and submission is entirely handled on your behalf.
After filing, you should receive confirmation that your submission has been accepted by EDGAR.
Step 6: Stay on Schedule for Future Quarters
One of the biggest advantages of outsourcing your 13F filings is that it creates a repeatable, predictable process.
Each quarter, you send your updated holdings data, review the proof, and approve the filing. The heavy lifting stays with your filing agent.
Form 13F is due 45 days after the end of each calendar quarter. Here are the upcoming deadlines:
Q1 2026 – May 15, 2026 (Friday)
Q2 2026 – August 14, 2026 (Friday)
Q3 2026 – November 16, 2026 (Monday)*
Q4 2026 – February 16, 2027 (Tuesday)*
*Extended due to weekend/holiday
What About Filing Software vs. a Filing Agent?
Some firms prefer to handle filings in-house using 13F filing software rather than fully outsourcing. This can work well for compliance teams or law firms that manage filings across multiple clients and want more hands-on control over the process.
ACN offers both options: a full-service filing agent model where we prepare and submit everything on your behalf, and access to our Form 13F online app for professionals who prefer to file internally while still leveraging our data validation and formatting tools.
For most institutional managers, outsourcing your 13F filings to a filing agent is the faster, lower-risk path, especially if you're filing for a single entity and want to minimize the operational footprint.
Ready to Outsource Your 13F Filings?
Filing Form 13F doesn't have to turn your hair grey at the end of each quarter. ACN Solutions has helped hundreds of institutional managers (including over 10% of all current 13F filers) meet their SEC reporting obligations accurately, efficiently, and on time.
Quarter-end shouldn’t mean scrambling. When your 13F is in our hands, it’s one less thing on your plate – filed accurately, on time, every quarter.
Contact us today to get started with your next Form 13F filing.
“The information provided in this blog post is for general informational purposes only and does not constitute legal, compliance, or financial advice. ACN Solutions LLC is not a law firm, compliance advisor, or affiliated with the Securities and Exchange Commission (SEC). While we strive to provide accurate and timely guidance based on publicly available SEC resources, we do not speak on behalf of the SEC and are not authorized to interpret its rules or policies. Readers should consult their legal counsel or compliance professionals for specific guidance related to their regulatory obligations.”