Form PF

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Form PF Filing Requirements

Investment advisers to private funds must file Form PF, a reporting requirement mandated by the Dodd-Frank Act. Investment adviser compliance experts at Regulatory Compliance are prepared to assist private fund advisers in meeting Form PF filing requirements.

Private fund advisers must complete and file Form PF if they:

  • are registered or required to register with the SEC as an investment adviser
  • manage one or more private funds, and
  • collectively, with related persons, had at least $150 million in regulatory assets under management attributable to private funds as of the last day of the adviser’s most recent fiscal year

Form PF Filing Information
Most private fund advisers that submit Form PF will file an abbreviated form that gathers information on:

  • assets under management
  • use of leverage
  • counterparty credit risk exposure and trading
  • investment positions or performance for each fund

Large private fund advisers must complete additional sections of Form PF that require more detailed information.

Form PF Filing Deadlines
Private equity fund managers and other private fund managers are required to file Form PF annually. Large hedge fund and liquidity fund managers must complete and submit Form PF quarterly.

Expert Guidance and Assistance in Filing Form PF
The compliance experts at Regulatory Compliance are prepared to answer your questions and assist you with Form PF filing and other Dodd-Frank Act requirements. With our guidance, you can be confident that you are in compliance with regulatory requirements.

For more on Form PF Filing please contact us or call 1-888-Reg-Comp (1-888-734-2667).