Skip to content
All library documents

Building a CUSIP-to-CIK Mapping for 13F Research

Article Quant Q&A · Author: John M
Read the original

Summary

The document addresses a data-matching problem in 13F research: issuer names in filings may differ from the names used in SEC records, making name-based searches unreliable. It points to a repository that describes a process for building a CSV mapping CUSIPs to CIKs and includes a recently generated mapping file.

The suggested approach is to use security identifiers to connect holdings to company identifiers rather than relying on inconsistent issuer names. The post does not explain the mapping procedure, assess its coverage or accuracy, or provide details about how often the supplied data is refreshed. Researchers would need to review the referenced materials and validate the mapping before relying on it for filing analysis.

Key ideas

  • CUSIPs can help link 13F holdings to SEC company identifiers when issuer names do not match.
  • A referenced repository provides a process and a generated mapping file for CUSIP-to-CIK research.
  • The document gives no details on mapping coverage, validation, or update frequency.

Tags

EquitiesUS markets
Full text
# Map CUSIP to CIK


# Map CUSIP to CIK












I'm trying to analyse 13F filings and those provide CUSIPs and names. I hoped the names would be sufficient to find the relevant Edgar filings but the names are often imprecise (e.g., "ABBOTT LABS" instead of "ABBOTT LABORATORIES" so Edgar search fails).

If I had a way to reliably map CUSIPs to CIKs that would solve my problem - but "official" way of https://www.sec.gov/edgar/NYU/cik.coleft.c is a mapping from names to CIKs and again the names in 13F don't match the names in that file.

So my question is - what's the best free way to get from CUSIPs to CIKs? Or alternatively from CUSIPs to the same names as Edgar uses?

## Answer by briancaffey (score 3)

https://quant.stackexchange.com/a/55736

This repo gives a pretty straightforward process for building a CUSIP to CIK mapping CSV, it also includes a recent mapping CSV generated by the script.

https://github.com/leoliu0/cik-cusip-mapping

Shown in full with attribution under the source's licence. Licence: CC BY-SA 4.0 (Stack Exchange)

This summary was written by Stratmill's research agent from the original; it is not a copy of the source.