Rebalancing and OMS

tradePort

Rebalancing and OMS introduce preference-based sleeves to create truly custom models. It allows for the creation of trades at accounts and household levels with ease. Firms can automate the model assignments to accounts. Models can be defined at Asset Class, Sub Asset Class and individual security levels.

The product’s event management functionality allows for scheduling recurring and one-time transactions. These might be cash withdrawal, DCA (Dollar Cost Average) or deposits. Market activity can be minimized by applying threshold percent to minimize the effect of security pricing.

Easy, intuitive navigation makes tradePort a joy to use and minimizes errors.

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Key Features

Flexible Allocation Models

Create various allocation models depending on investors’ goals, objectives and risk tolerances. Define them at household or account levels. Allocation models can be created at Asset Class, Sub Asset Class and individual security level. All sleeves are modular and are allocated in order of preference. In addition, you can also define unmanaged securities which are not to be traded.

Preference Based Rebalancing

Worried about giving all of you clients the same model when your new ideas are not being implemented? The preference-based models allow new accounts access to newer securities while legacy positions are retained due to tax or holding period issues.

Overall Financial Picture of all Accounts

Review all your investors on a single screen to identify if any of them are holding more/less cash than the actual allocation or have moved outside their target asset allocation. Identify cash available in each account and use it to generate/execute trades. Cash reserves can be used to create specific trades irrespective of allocation model assigned to accounts.

Tactical trading

Allow firms to create tactical trades focused on a specific security unrelated to the allocation models across a set of accounts or for an individual investor.

Archive trades for compliance and Audit

Trades are archived as soon as they are exported to the custodian. In addition, trades also indicate the purpose (rebalance, raise cash, manual trade) and the user who created the trade. Archived trades are used for compliance and audit purposes as well as to reconcile/compare the executed trades against the trades generated. This helps in identifying discrepancies and fulfilling your SEC mandated obligations.

Rebalancing

Rebalance portfolios based on pre-defined allocation models with a few button-clicks. The system allows for buy and sell only rebalancing in addition to traditional rebalancing. Rebalancing levels supported are:
● Account or household level
● Specific Model or all Models
● Specific custodian or all custodians
● Taxable, non-taxable or all accounts

Simple trades approval process

Advisors can review the trades created from and approve them before they are sent to custodian for execution. The trading process is streamlined by using the steps:
● Rebalance to create trades
● Approve trades
● Export trades to Custodian
● Archive trades
● Reconcile executed trades