Guides
How the public record works, and how to use it for business development. Each guide is kept current with the rules it describes.
- What is SEC Form D? A practical guide for service providers
When Form D is filed, what it contains, 506(b) vs 506(c), 3(c)(1) vs 3(c)(7), and how fund administrators, auditors, counsel and recruiters use it as a lead source.
3 min read · updated 2026-10-24
- How to find new private funds before they pick their service providers
A prospecting playbook for fund administrators, auditors, custodians and counsel: the Form D signals that mark a fund in formation, timing, and what to say.
2 min read · updated 2026-10-24
- 8-K Item 5.02 explained: how executive departures and appointments are disclosed
What triggers an 8-K Item 5.02, the four-business-day deadline, how to read departures, interim appointments and successor language, and how recruiters use it.
2 min read · updated 2026-10-24
- New RIA registrations: how to track newly registered investment advisers
SEC vs state registration, the 120-day rule, exempt reporting advisers, where new registrations appear (IAPD, not EDGAR), and what a newly approved adviser needs to buy.
2 min read · updated 2026-10-24
- Finding first-time fund managers and emerging managers in SEC filings
How a first-time manager shows up in Form D, why they are the best prospects for fund services, and the limits of the method.
2 min read · updated 2026-10-24
- Form D vs Form ADV: what each filing tells you about a private fund manager
Two public filings, two systems (EDGAR and IARD), two different moments in a manager's life. How to use each as a business-development signal.
2 min read · updated 2026-10-24
- Rule 506(b) vs 506(c): what the exemption on a Form D tells you
The practical differences between 506(b) and 506(c) offerings, verification, general solicitation, and what each tells a service provider reading the filing.
2 min read · updated 2026-10-24