WHITEPAPER: 10 Ways Asset Managers Are Using Form ADV Data

Asset Managers Form ADV Data

WHITEPAPER: 10 Ways Asset Managers Are Using Form ADV Data

Form ADV filings data is a valuable dataset of over 21,000 firms that are registered with the SEC. This dataset is leveraged to peer benchmark, derive competitive intel and inform product positioning by asset managers. Some of these ways include:

  • Proactively inform investors on key changes to the filing for your firm. For material changes where you anticipate investor follow ups, formulate responses in collaboration with internal subject matter experts. Questions you can easily help provide include the following: 
    1. Generate summary of what are the material changes in the firm and fund profile between any two time periods. 
    2. How often do we update our SEC filings? Is it annual frequency or more frequent? 
  • Track AUM, headcount, client types, regulatory profile, service provider changes at competitors by building a peer group portfolio. Questions you can easily help provide the following: 
    1. What is institutional vs wealth asset split for peer asset managers?
    2. What have been headcount, AUM, ownership changes at peers?
    3. Which regulatory jurisdictions are important for my type of fund strategies? Where are my peers registered?
    4. Which firms have regulatory, civil or criminal disclosures?
  • Reference industry benchmarks to make informed decisions. Questions you can easily help provide the following: 
    1. What fund structures and affiliate structures do firms similar to us use? 
    2. Which auditors, prime brokers, fund administrators do peer asset managers use? 
    3. Who are the top service providers in my fund types and for firms our size?

The answers to these questions are critical in creating a well-researched competitive strategy, and the regulatory dataset based on SEC’s Form ADV filings is an important resource. 

In the second part of our Form ADV whitepaper, we discuss the many ways in which asset managers today are utilizing form ADV data to build competitive advantage. 

Learn more about how DiligenceVault Investor Relations Technology can help you with your due diligence needs. 



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