A tool by Firecrawl · uses 9 tools · Finance

Commodity pool operator due diligence

Use when an operational due diligence analyst at a fund of funds, family office or wealth platform reviews a managed futures manager before allocating. Confirms the manager's NFA registrations and pools, reads regulatory actions and arbitration awards, checks the clearing FCM's capital, and finds related SEC offerings and UK permissions, producing an ODD memo.

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Tools it calls

Each tool's price and track record across every agent today. Empty means the call worked and found nothing.

ToolPriceMedianSuccessEmpty

NFA BASICSearch poolsPrice5 creditsMedian–Success–Empty–
NFA BASICGet profilePrice5 creditsMedian–Success–Empty–
NFA BASICList poolsPrice5 creditsMedian–Success–Empty–
NFA BASICList regulatory actionsPrice5 creditsMedian–Success–Empty–
NFA BASICList arbitration awardsPrice5 creditsMedian–Success–Empty–
NFA BASICSearch individualsPrice5 creditsMedian–Success–Empty–
NFA BASICGet fcm financialsPrice5 creditsMedian–Success–Empty–
SEC EDGARFilingsPrice5 creditsMedian322 msSuccess98%Empty1.2%
UK Financial Services Register (FCA)Search firmsPrice5 creditsMedian968 msSuccess96.7%Empty0%

Instructions

What your agent follows when it runs this tool. Paste them into any assistant connected to Firecrawl.

# Commodity pool operator due diligence

For one managed futures manager and the pool being offered. Registration history and the clearing chain are where operational risk shows first.

## 1. The manager and its pools

1. Find the pool with @[NFA BASIC · Search pools](alexandria:nfa-futures-org/regulatory-registry/search_pools) (query the pool name). Carry pool status and the CPO's NFA ID.
2. Read the CPO's registration record with @[NFA BASIC · Get profile](alexandria:nfa-futures-org/regulatory-registry/get_profile) (nfa_id): registration categories (CPO, CTA), membership status, dates and listed principals.
3. List every pool the CPO runs with @[NFA BASIC · List pools](alexandria:nfa-futures-org/regulatory-registry/list_pools) (nfa_id). Many ceased pools is a question to ask, not a verdict.

## 2. Record

4. List regulatory actions with @[NFA BASIC · List regulatory actions](alexandria:nfa-futures-org/regulatory-registry/list_regulatory_actions) (nfa_id) and arbitration awards with @[NFA BASIC · List arbitration awards](alexandria:nfa-futures-org/regulatory-registry/list_arbitration_awards) (nfa_id). Repeat for each principal found with @[NFA BASIC · Search individuals](alexandria:nfa-futures-org/regulatory-registry/search_individuals).

## 3. Clearing broker

5. For the pool's FCM, read 12 months of adjusted net capital with @[NFA BASIC · Get fcm financials](alexandria:nfa-futures-org/regulatory-registry/get_fcm_financials) (nfa_id of the FCM, report net_capital, from, to). Falling excess capital at the clearer is a counterparty risk.

## 4. Other regulators

6. Find the pool's Form D offerings with @[SEC · Filings](alexandria:sec-gov/filings/filings) (name the pool, forms D) for offering size and related persons, and, if the manager markets in the UK, check permissions with @[FCA Register · Search firms](alexandria:register-fca-org-uk/entities/search_firms).

## Write the ODD memo

- **Registrations:** categories, dates, membership status, principals.
- **Pools:** current and ceased, with dates.
- **Disciplinary record:** actions and awards for the firm and principals, with case numbers.
- **Clearing:** FCM name and capital trend.
- **Offering:** Form D size and dates.
- **Open questions:** items to raise in the onsite.
- **Sources:** cite each fact to its NFA, SEC or FCA record. Say what could not be found.

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