Form ADV filings data for external manager diligence

Leverage Form ADV regulatory filings for portfolio risk management and fund due diligence

Diligence Analytics
DATA ANALYTICSPowerful Sourcing & Analytics

SEC’s Form ADV regulatory filings have data for over 25,000 firms, and over 70,000 private funds. Leverage this rich dataset for:

  • Manager sourcing by reviewing new launches and registrations
  • Identifying and monitoring key opportunities proactively
  • Benchmarking best practices across peer group within your portfolio
EASY TO USEUser friendly diligence platform

Tired of manually reviewing annual filings in PDF format? Access simple, yet effective advisor profiles, private fund listings, and private fund profiles. Configure materiality threshold for filing changes.

  • Track historical changes across regulatory assets, investor profiles
  • Monitor changes to headcount, regulatory assets under management (AUM) and gross assets
  • Identify new criminal, civil and regulatory DRPs
  • Identify changes to key owners and executives as well as service providers including audit firms, prime brokers, custodians and administrators
TRANSPARENCYTimely email alerts

Configure daily / weekly email alert with Form ADV regulatory filing changes of your portfolio delivered to your inbox. Be proactive in identifying and monitoring risks in your portfolio. Track material changes in the Form ADV brochures easily on the platform.

DATA ANALYTICSComprehensive data and risk dashboards

Integrate the power of Form ADV data in your decision making across risk dashboards, investment committee memos, fund factsheets, and integrating with internal fund investments data lake.

  • Search the entire database of ADV filings with firm and private fund data filters.
  • Gain key insights around filing history, trends in SEC filings, peer benchmarking and more with our ADV Power BI analytics dashboards.
  • Create data exports for further analysis and reporting
DV PowerBI Integration

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Take advantage of the asset class specific one-pagers based on the SEC’s FormADV data of private equity, private credit, venture capital, real estate, infrastructure and related strategies.

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WHITEPAPER: Quantifying Value of Operational Due Diligence (ODD) 

A research whitepaper on history of operational losses, value of ODD for investment offices, and views on top risks in 2024

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WEBINAR TAKEAWAYS: Due Diligence During A Stress Event 

On our webinar on SVB Response, we discussed views on the Silicon Valley Bank crisis event, potential impact on future diligence approaches, and a Q&A session.

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Add ADV module to your diligence framework