Overview: This article explains how to import account holdings and asset values using the User Provided Excel (UPX) template through the Integration Providers workflow. The User Provided Excel (UPX) template is intended to help users import data for providers that are not otherwise available, upload information not supported through another system integration, or add data in bulk when an internal spreadsheet import is not sufficient.
If a user needs to update holdings and asset values for a small number of plans, it is recommended that they use the standard Import Holdings via Excel process instead of the UPX template. For more information on importing holdings directly, click here.
When to Use the User Provided Excel
- Uploading multiple plans at one time
- Creating new clients and holdings in bulk
- Performing recurring month-end or quarter-end updates for a large number of plans
Using the UPX file, users are able to:
- Create clients in bulk
- Create holdings in bulk
- Update client asset values and holdings at month-end or quarter-end
- Reduce or eliminate manual data entry
Step 1: Download the User Provided Excel Template
- Navigate to Application Management in the Fiduciary Focus Toolkit by clicking the gear icon in the top-right corner of the screen.
- Select Integration Providers from the left-hand menu.
- Click + Add New Provider.
- Select User Provided Excel from the dropdown menu.
- Download the template.
Step 2: Complete the User Provided Excel Template
The workbook contains four tabs:
Tab 1: Header
Enter the following:
- Holdings As Of Date for all data in the file
- Date should be in "mm.dd.yyyy" format. Do not use "/" in the date
- Workspace ID from your Fiduciary Focus Toolkit account. You can find the Workspace ID within Application Management in the top-right corner of the screen.
Tab 2: Clients
Enter one row per account or retirement plan you want to import.
Requirements:
- Fields A-C on this tab are required
- Each client/account must have a unique identifier
- The client accounts added in this file will be available for creation or syncing to an existing account in the Toolkit
Tip: The RK Number/Client ID entered on this tab must match the ID used on the Holdings tab
Tab 3: Holdings
Enter the holding(s) for each client.
Requirements:
- The ID in the first column must match the RK Number/Client ID from the Clients tab
- Enter one row per holding
Investment Identifiers: Not all identifiers are required, but the more you provide, the better the chances of a successful match. Preferred order of identifiers:
- Morningstar SECID: this is the preferred identifier and can be used to map mutual funds, ETFs, and group annuities.
- CUSIP
- Ticker
Tip: Even if you provide an identifier, it is strongly recommended that you also include the fund name. If the identifier cannot be matched, a custom investment may be created using the fund name provided.
Market Value Formatting:
- Do not use the dollar sign ($) when entering market values
- Asset values cannot be blank
- If a holding has no assets, enter 0
Tab 4: System Account Types
Use one of the available values from this tab when completing the Account Type field on the Clients tab.
Only valid system account types should be entered.
Step 3: Submit the Completed File
Once the file is complete, email it to: Fi360productops@broadridge.com
Please allow up to one week for processing.
Step 4: Confirmation
Once the file is uploaded, our team replies to the user's email to notify them of the update. After the file finishes processing, any existing plans will update within 24–48 hours. Any new plans should appear immediately in the blue bar at the top client’s page within the Toolkit.
Ongoing Updates
If you previously uploaded a User Provided Excel file for an earlier reporting period, and:
- You re-upload a client with the same RK Number/Client ID, and
- That client has already been synced to a client account within the Toolkit then the new file will automatically update the holdings with the new data provided.
Best Practices
To help avoid processing issues, please follow these best practices when preparing your file:
- Format all cells as General. This helps prevent Excel from changing IDs, dates, or values unexpectedly
- Do not leave asset values blank: If there are no assets for a holding, enter 0
- Do not use dollar signs or special formatting in market value fields, enter numeric values only
- Use the UPX template only when uploading multiple plans. If you only need to update a small number of plans, use the standard Import Holdings via Excel process instead.
- Remove all sample data before submitting, do not leave example rows in the file
- Use consistent client IDs. The RK Number/Client ID on the Clients tab must exactly match the ID on the Holdings tab
- Provide as many investment identifiers as possible. Morningstar SECID is preferred, followed by CUSIP, then Ticker
- Always include the fund name when possible. This helps if an identifier cannot be matched.
- Verify account types and only use values listed on the System Account Types tab
Below is a populated sample: