PROJECT HELIX
SEC Filing
Regulatory Intelligence Monitor
Schedule
Mon/Wed/Fri 6:00 UTC
Filing Type
8-K (Item 5.02)
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.
03
The Manual Alternative
Without this agent, monitoring SEC filings for executive leadership changes requires specialized knowledge and daily attention:
| Research Task | Manual Effort | Automated |
| Monitor SEC EDGAR for new 8-K filings daily | 30-45 minutes | Automatic daily scan |
| Filter to Item 5.02 (leadership changes) | 15-20 minutes | Pre-filtered automatically |
| Parse legal language for structured data | 20-30 min per filing | AI extraction in seconds |
| Research incoming executive background | 30-45 minutes per person | Automatic enrichment (Apollo + LinkedIn) |
| Flag for outreach before press coverage | Often missed | Automatic 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.