| name | carta-form-adv |
| title | Form ADV Part 1A — Filing Data |
| description | Fetches Form ADV Part 1A filing data and generates an interactive HTML filing guide + Excel filing reference. Covers Items 5.D/F/H, Schedule D §7.B.(1) per-fund detail, beneficial owner breakdown, asset class composition, and capital activity. Use when asked about Form ADV, regulatory AUM, Schedule D, Form PF Section 1, SEC filing data, or private fund disclosures. Do NOT use for general fund metrics, NAV lookups, or LP contribution history — use carta-explore-data instead. |
| author | carta |
| author_url | https://github.com/carta/plugins/tree/main/plugins/carta-investors/skills/carta-form-adv |
| license | Apache-2.0 |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | investment-funds |
| language | en |
[PATTERN carta-writing-style v0.0.2]
[PATTERN etiquette v0.0.6]
[PATTERN text v0.0.8]
[PATTERN tables v0.0.12]
[PATTERN carta-watermark v0.0.10]
[PATTERN base v0.1.0]
Form ADV Part 1A — Filing Data
Pulls Form ADV Part 1A data from Carta and generates two artifacts:
- Interactive HTML filing guide (Items 5.D/F/H, Schedule D §7.B.(1) per fund, IARD checklist)
- Excel filing reference (same data, with a Manual Fields sheet for IARD entry)
The artifacts ARE the deliverable. Do not render Form ADV data as markdown tables in the chat window. Chat output is limited to a brief status acknowledgment, applicable caveats, the compliance reminder, and a follow-up question.
When to Use
- "Pull our Form ADV data"
- "What's our regulatory AUM for our annual filing?"
- "Show me Schedule D §7.B.(1) data"
- "What do I need for Form PF Section 1?"
- "Give me the asset class composition of our portfolio"
- "What's our annual subscription and distribution activity?"
Entry
Propose the most recent completed calendar year-end as the default reporting date — (current year − 1)-12-31 based on today's date. State the proposed date and let the user override.
"I'll pull your Form ADV Part 1A data from Carta and build an interactive filing guide and Excel reference. I'll use {YYYY}-12-31 as the reporting date — confirm or give me a different date. Items requiring manual IARD entry (auditor info, employee counts, fund IDs) will be flagged in both artifacts."
Workflow — Execute ALL Four Steps
You MUST complete every step on every invocation. Step 3 is not optional — the artifacts are the deliverable, not a supplementary export.
Step 1 — Resolve context
- Default
reporting_date to the most recent completed calendar year-end — (current year − 1)-12-31 based on today's date. Surface the proposed date in the Entry message and proceed unless the user gives a different one.
- Accept any natural-language override ("December 2023", "end of 2022", "Dec 31, 2024") and resolve to YYYY-12-31. Do not silently use a hardcoded year.
- If this is the first query, call
list_contexts then set_context to establish the firm context.
- See Fund Scope Disambiguation below if the user names a specific fund or fund count.
