PROJECT HELIX
SEC Filing
Regulatory Intelligence Monitor
Schedule
Mon/Wed/Fri 6:00 UTC
Filing Type
8-K (Item 5.02)
Enrichment
Apollo
Frequency
3x/week
01
Overview
Monitors SEC EDGAR daily for new 8-K filings across the entire tracked company universe, filtering specifically for Item 5.02 disclosures that signal executive leadership changes. These filings are legally mandated within four business days of a leadership change, creating a structured and reliable intelligence feed that consistently surfaces ahead of press coverage and public announcements. AI parsing converts dense regulatory language into structured, actionable data, extracting the names of departing and incoming executives, their roles, effective dates, compensation details, and stated reasons for the change. New appointees are automatically enriched with contact data, LinkedIn profiles, and professional background through Apollo lookup, giving consultants a head start on relationship development before competitors are even aware of the transition. The four-business-day disclosure window creates a first-mover advantage that manual monitoring rarely captures, because the gap between SEC filing and press pickup is narrow and easy to miss. Each processed filing is routed directly into the BD Radar briefing cycle, ensuring the right Managing Directors receive the intelligence in time to act. The combination of daily scanning, AI extraction, and automatic enrichment compresses what would be hours of specialized research into a seamless, automated workflow. The result is a continuous feed of leadership transition intelligence with full context attached.
Item 5.02 filings are legally mandated within four business days of a leadership change. This creates a reliable, structured feed of executive movements ahead of press coverage.
02
How It Works
1
Company universe load
Pull the tracked company list from Airtable, scoped to the current monitoring universe.
2
Regulatory filing scan
Query SEC-API for recent 8-K filings filtered to Item 5.02 (Departure/Election of Directors; Appointment of Principal Officers).
3
AI legal parsing
AI extraction of structured data from SEC legal language: departing executive, incoming executive, role, effective date, compensation changes, and stated reason.
4
Executive enrichment
Apollo lookup for new appointees provides contact data, LinkedIn profiles, prior company history, and professional background.
5
Intelligence hub delivery
Write filing records with parsed executive changes, enrichment data, and BD Radar flags for the next briefing cycle.
Extracted Fields
Departing Executive
Incoming Executive
Role / Title
Effective Date
Reason for Change
Apollo Contact Data
APIs & Services
SEC-API
Claude
Apollo
Airtable
Intelligence Advantage
SEC 8-K Item 5.02 filings are legally mandated within four business days of leadership changes, providing a structured intelligence feed ahead of press coverage and public announcements.
03
The Manual Alternative
Without this agent, monitoring SEC filings for executive leadership changes requires specialized knowledge and daily attention:
Research TaskManual EffortAutomated
Monitor SEC EDGAR for new 8-K filings daily30-45 minutesAutomatic daily scan
Filter to Item 5.02 (leadership changes)15-20 minutesPre-filtered automatically
Parse legal language for structured data20-30 min per filingAI extraction in seconds
Research incoming executive background30-45 minutes per personAutomatic enrichment (Apollo + LinkedIn)
Flag for outreach before press coverageOften missedAutomatic BD Radar routing
Total manual effort per filing: 1.5-2.5 hours. More critically, manual monitoring typically misses the narrow window between SEC disclosure and press coverage — the exact window where early outreach has the highest impact.