Overview: This article provides an overview of how to import and manage client account holdings within the Fiduciary Focus Toolkit. Holdings can be added by uploading an Excel/CSV file, entering them manually, or importing a PDF using AI extraction.
For any holdings changes to be reflected in your Monitoring Report, the report for that quarter must be in Draft status. For guidance on returning a report back to Draft Status, click here.
Skip to...Importing Holdings via Excel, Importing Holdings Manually, Importing Holdings via PDF
Importing Holdings via Excel
- Click into the Client
- Click on the Active Account that you would like to update
- Click on the ‘↑’ arrow in the navigation menu.
Tip: When you hover over the icon, it will say ‘Import Holdings’
- From the pop-out box, select ‘From Excel’
- From the next menu, press the blue button labeled ‘Select File’. You can then navigate to the Excel document you wish to upload from your computer files.
Tip: An Excel upload will not override any existing holdings in your list. It will append new funds from the upload and update the values for any funds already in the lineup prior to the upload. If any funds need to be removed, this must be completed in a separate step.
- Select the appropriate file, choose the type of identifier listed in your spreadsheet (Ticker, CUSIP, or SECID), and then use the drop‑down menus to assign the corresponding data points.
- Once you have completed the steps above, click the blue Import button in the bottom right corner of the screen. A review summary will appear outlining what was imported, including how many funds were added and whether any were skipped due to duplication. After reviewing the summary, click the small X in the upper right corner to close the window and complete the import.
Importing Holdings Manually
- Click into the Client
- Click on the Active Account that you would like to update
- Click on the ‘Add New Holdings’ button
- Within this menu, you can search for funds in two ways
- One option is to search individually by entering the fund identifier in the top field. As you begin typing, the system will display matching funds based on the information entered. To add any of those holdings, click on the name of the fund in the results list.
- The second option is to search for multiple funds at once. To do this, you can enter a list of CUSIPs or tickers in the designated box. Be sure to enter each identifier on a separate line or separate them with a comma. Once the identifiers have been added to the box, click on the Find Tickers or CUSIPs button to locate multiple investments at once.
- Once the identifiers have populated in the Included Holdings section, press Add in the bottom right corner of your screen.
Importing Holdings via PDF
Users of the Fiduciary Focus Toolkit can extract holdings from a PDF document and import the extracted data into a client or proposal account. Click here for a quick overview video.
To import holdings from a PDF, a user first submits the document, which is then scanned using Broadridge’s BroadGPT artificial intelligence to extract the holdings. Once extracted, the holdings are matched to known investments within the Broadridge database and prepared for import into a client or proposal account. Check out our step by step how-to video.
Please note, the maximum PDF size if 5MB. Users may be required to reduce the size or number of pages of the PDF to those directly related to the investments to be imported. See print to PDF instructions for more information how to reduce pages of a PDF.