Getting started guide

After reading this article and completing the steps outlined within, you will be ready to monitor your client accounts against a prudent investment process.

Major steps


  1.  Import your existing client accounts  
  2.  Create and activate an investment policy for each client to start monitoring their account(s)  
  3.  Pre-load any investment changes in progress (if applicable) 
  4.  View a client’s monitoring report   


Step 1 – Import your existing client accounts


1.  Under Book of Business/Clients, you can manage and create your clients.  A client can either be an organization or an individual.


2.  For each client, add the account or accounts that you are responsible for.  You can create the account manually or import the data from an integration partner.  

Note: You can establish an integration with one of our 3rd party partners in the Application Settings area (cog in the top right corner).  Once the integration is activated, you will be able to create client accounts using holdings data from the partner.  Learn how to set-up an integration partner here.

3.  If you didn't create the account using an integration partner, you will then need to add the account holdings.  This can be done via EXCEL or by typing in the ticker, name or CUSIP.

4.  After you complete these steps for each client in your book of business, your clients dashboard will look like this;



Step 2 – Create and activate an investment policy to start monitoring your client accounts


1.  For each client, create an investment policy that will activate the account(s) for ongoing monitoring.   Even if you don't want to produce a new Investment Policy Statement, you still need to assign the watch list triggers and asset allocation for the system to monitor the account(s).  

2. Select the appropriate Investment Policy Template to create the Statement which can be reviewed and approved by your client.  If you don't want to create and have the client approve a new statement now, you can leave the Template selection empty.  You can come back at a later time and create the Statement when you're ready.

Note: You can modify the default Investment Policy Templates in Settings/Application Settings/Investment Policy Statements.  

3.  Select the watch list triggers that you want to use to monitor the client's investments.  You can assign a unique trigger to each investment type (active, passive, 
money market/stable value and target date investment).  You can leave it as "no trigger" if you don't want an automated process to put investments on your watch list.

Note: You can modify the default Watch List Triggers in Settings/Application Settings/Watch List Triggers
4.  Select the peer groups (and allocation ranges if applicable) that will be used

5.  Complete the Investment Policy Statement 
questionnaire to preview the client's statement (only applicable if you selected an Investment Policy Statement)

6.  Generate the client deliverable (only applicable if you selected an Investment Policy Statement).  This removes the watermark and saves a copy of the Statement for future reference.  

7.  Activate the Policy to begin monitoring the account(s).



Step 3 –  Pre-load any investment changes in progress (if applicable) 


If you have any investment changes to your client accounts that are already in progress (but not yet approved or executed), you should pre-load them so that your Monitoring Reports have the most current information.  Depending on the type of change (replace, add or remove), follow these steps for each distinct investment change across your book of business.
For investment replacements (swapping one investment for another)


1.  Select the investment being replaced and click to 'Replace holding'.  This can be done from the client account holdings tab or within the Book of Business / Investments/ Investment Dashboard.

2.  If you already know which investment(s) are being recommended, you can specify those manually.  Otherwise, you can use the search filters to conduct your research (you can come back to this at a later time.) 

3.  If the investment is being replaced across multiple client accounts, you can link each account within the Client Accounts tab.

4.  Finally, you can assign the correct status of each change by clicking on the link in the 'Change Status' column.  In our example, we are still researching so no recommendations exist yet.

For investment additions (adding a new investment without a direct tie to an investment you are removing)


1.  From within an client account holdings or within Investment Research / Manage Investment Changes, you can select to 'Add new holding'.
2.  The rest of the steps are the same as the replacement process above.



For investment removals (removing an investment with no specific replacement)



1.  Select the investment being removed and click to 'Remove holding'.  This can be done from the client account holdings tab or within the Book of Business / Investments/ Investment Dashboard.

2.  Since this is just a removal, no recommendations need to be made.  Just follow the same steps as replacement to make this change for 1 account or across multiple accounts in your book of business.



Step 4 – View a client’s monitoring report


1.  Once an Investment Policy is activated for a Client, you can view their monitoring report history.  



Open the current monitoring report to view both the interactive report and a PDF output.  You will be able to preview the PDF monitoring report and



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