Form PF & ADV
Tailored Support for SEC Form PF & ADV Reporting
SEC Form PF and ADV reporting are essential requirements for funds managing substantial regulatory assets. At Addition Compliance, we support firms with over $200 billion in assets under management each year, ensuring their disclosure obligations are met in full compliance with the latest SEC regulations. Our flexible managed service is tailored to your firm’s specific needs, whether you require end-to-end support or help with only the most challenging aspects of preparation and submission. We operate as an extension of your compliance team, delivering exactly the support you need to stay on track.
Flexible SEC Reporting Solutions
Our approach to SEC Form PF and ADV reporting is designed to adapt to your preferences. Some firms prefer to maintain control over parts of the process, while others look for a fully outsourced solution. Addition Compliance accommodates both, offering:
- End-to-End Service: Comprehensive support from data collation to submission.
- Partial Support: Assistance with specific steps, such as validation or submission, that require additional capacity or expertise.
With Addition Compliance, you gain the assurance that your reports are accurate, compliant, and submitted on time, every time.
Streamlining SEC Reporting During Peak Periods
One of our clients, a fund manager, was familiar with SEC Form PF and ADV reporting and confident in their ability to prepare returns in-house. However, their internal compliance team struggled to manage the workload during the annual SEC reporting period, leaving them at risk of missing deadlines.
To resolve this, Addition Compliance collaborated with the client to design a workflow that suited their needs. They retained control of the preparation process while our delivery team reviewed the returns for accuracy, ensuring they complied with the latest SEC guidance. We also handled the final submission, guaranteeing it was completed on time.
Our process
1
Data collection
We request data from any nominated provider.
2
Prepare & Review
We consolidate your data, prepare returns, and raise any necessary queries.
3
Validate & Finalise
We verify data accuracy and generate
electronic filings.
4
Approve Submission
You review and approve returns for submission.
5
File & Confirm
We submit returns online and provide proof of successful submission.
Efficient Use of Resources
The client’s compliance team was able to maximise their output without overstretching resources during peak reporting periods. With Addition Compliance’s support, they confidently met their SEC reporting deadlines without compromising the quality of their in-house work.
Why Choose Addition Compliance for SEC Form PF & ADV Reporting?
- Customised Support: We adapt our services to fit your firm’s unique needs, offering full or partial outsourcing.
- Regulatory Expertise: Our team ensures compliance with the latest SEC guidance, reducing the risk of errors.
- Capacity Management: We provide extra resources when you need them most, helping you handle peak workloads without strain.
Effortless Compliance for SEC Returns
SEC Form PF and ADV reporting doesn’t have to disrupt your operations. With Addition Compliance, you’ll have a reliable partner to manage your regulatory obligations, allowing your team to focus on their priorities. From full-service solutions to targeted support, we ensure your reporting process is efficient, compliant, and stress-free.
Contact Addition Compliance to learn how we can simplify your SEC reporting process and keep your compliance efforts running smoothly.
