The AdvisorEngine Portfolio Management Suite contains a pre-built SEC compliant report template that can be used to file your quarterly 13F report.

Running and Exporting a 13F Report

1. Navigate to Manage Clients > Dashboard.
2. In the Custom Reports grid, locate the 13F Report and select it.
3. After the report template populates, click Export > CSV in the upper right.



4. When the CSV is ready for download, it shows in the bottom right of your screen. Click DOWNLOAD and save the file somewhere securely.

The downloaded 13F Report can now be submitted to the SEC through the usual channels after checking it internally.

Criteria Used

The 13F Report is generated by the AE system using the following methodology and logic rules:

• The SEC Reportable Security list is cross-referenced every quarter to determine eligible securities.
• Mutual funds are automatically excluded from the list.
• The sum of the position history quantity must be greater than or equal to 10,000.
• The sum of the position history market value must be greater than or equal to $200,000.
• The Security Issuer Name must not be empty.

Unpopulated Columns

Currently, the following columns do not populate with any data. Your firm is responsible for populating these columns with data as needed before submission.

• Investment Discretion
• Other Manager
• FIGI (Financial Instrument Global Identifier)