Beyond Insiders: Wealth in SEC Filings Workshop

Go Beyond Insiders to Find Hidden Wealth in Forms ADV and 13F

You may be familiar with SEC filings for public company insiders, but did you know that ultra-wealthy prospects trigger other SEC filings as well—even if they have no public company insider status at all? Forms ADV and 13F can reveal family offices, investment advisory firms, and 9-figure stock portfolios. But here’s the good news: you don’t need to become a securities expert to use them. In this workshop, you’ll learn exactly which sections to read, how to calculate total wealth from the numbers you find, and get ready-to-use language to confidently present your findings.

What You’ll Learn:

• How to recognize the scenarios that might trigger SEC filings – beyond insider status
• How to search and interpret Form ADV for your prospect
• A practical method to calculate total investable assets from Form 13F
• Sample language to communicate findings to gift officers

How to incorporate SEC filing data into your capacity rating