Risk Assessment

Purpose

Identify, categorize, and evaluate the key business, financial, macroeconomic, and accounting quality risks facing a publicly traded company. Surface red flags that may not be immediately apparent from headline financial metrics, including concentration risks, off-balance-sheet exposures, aggressive accounting practices, and pending litigation. Deliver a prioritized risk inventory that highlights the most material threats to the investment thesis.

Data Fetching Process

Consult ${CLAUDE_PLUGIN_ROOT}/skills/_shared/references/data-sources.md for full data-fetching instructions, ticker resolution, and fallback behavior.

Step 1 — Resolve Ticker and Retrieve Risk Factor Disclosures

1. Resolve the company ticker to a CIK via the SEC company tickers JSON endpoint.
2. Search for the most recent 10-K filing using the EFTS endpoint: query the company name or ticker with forms=10-K.
3. Fetch the 10-K filing and locate the "Risk Factors" section (Item 1A). Extract the key risk categories and specific risks disclosed by management.
4. If the full 10-K is too long to parse, use WebSearch for "{ticker} 10-K risk factors" or "{ticker} annual report risk factors" to find summaries or analyses of the risk disclosures.
5. Note any new risk factors added in the most recent filing compared to prior years, as newly disclosed risks often signal emerging concerns.

Step 2 — Retrieve Financial Data for Quantitative Risk Signals