Reports. Activity. This chapter includes the following topics:

Transcription

1 3 Reprts This chapter describes the reprting features f Accunt Management, including activity statements, trade cnfirmatin reprts and supplemental reprts such as margin reprts. This chapter includes the fllwing tpics: Activity Statements Trade Cnfirmatin Reprts PrtfliAnalyst Transactin Cst Analysis Risk Supplemental Reprts Tax Settings Custmer Activity Mnitr (CAM) Activity The Reprts > Activity menu includes the fllwing pages: Statements - View and create activity statements. Yu can run default statements r create yur wn custmized statements. Third-Party Dwnlads - Dwnlad activity statements in ne f several frmats, such as Quicken. Flex Queries - Create highly custmized activity statements in text r XML frmat. Batch Reprts - View the status f reprts queued fr batch prcessing, and run batch reprts. Mdels - Advisrs and their clients view Mdel Statements. Accunt Management Users' Guide 79

2 Abut Activity Statements Abut Activity Statements Activity Statements include infrmatin abut yur accunt activity, which can be generated n a daily, mnthly, and yearly basis fr all accunts. Infrmatin included in an Activity Statement is presented in expandable and cllapsible sectins with click-dwn detail, and yu can create custmized statements t include r exclude individual sectins. Yu can als chse t include clsed accunts in yur statement. Yu are ntified via when there is accunt activity. Activity Statements in Mbile Accunt Management include infrmatin abut yur accunt activity, which can be generated n a daily r mnthly basis and fr a custm date range fr all accunts. Prices in statements are displayed with a minimum f fur decimal places t a maximum f seven decimal places. Sectins that display price include Trades and Open Psitins. Statement Cutff Times The statement cutff time fr cmmdities is generally 5:15 PM EST, and the statement cutff time fr securities is generally 8:20 PM EST. This means that any trades executed fr thse asset classes befre the cutff times will be reflected in yur statement fr the day. IB-JP clients have a statement cutff time f arund 6:00 AM ET. Activity by Accunt Type The fllwing figure shws what kind f activity statements are available fr each accunt type. Accunt Management Users' Guide 80

3 Activity Statement Archive Plicy Activity Statement Archive Plicy We prvide access t activity statements as fllws: Daily accunt statements are available fr the fur previus calendar years and frm the start f the current calendar year. Mnthly accunt statements are available fr the five previus years (60 prir mnths). Annual accunt statements are available fr the five previus years. Custm Date Range accunt statements are available fr the fur previus calendar years and frm the start f the current calendar year. Yu can btain accunt statements lder than this fr a prcessing fee. See the Other Fees page n ur website fr mre infrmatin. Viewing Activity Statements Activity Statements include infrmatin abut yur accunt activity, and can be generated n a daily, mnthly, and yearly basis fr all accunts. Yu view activity statements frm Accunt Management r frm the View menu in Trader Wrkstatin. Make a nte f the fllwing guidelines when viewing activity statements: Multi-accunt structures (Advisr, Brker, Institutins) can select ne r mre accunts frm the Accunt(s) list. Mnthly statements are generally available by five business days after the clse f a mnth. Annual statements are available by January 31 under nrmal circumstances. Wh can access the Statements page? Yu can access this page if yu are a(n): Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Accunt Management Users' Guide 81

4 Default Statements Advisr Client User Individual Advisr Client User Organizatin Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Brker Nn-Disclsed Client User Investment Manager Master User Fund and yu have been granted Reprting access rights. Default Statements There are several default statements available fr viewing Activity Statements: Partitin Summary - This default statement is available fr accunt hlders wh have divided their accunts int partitins. It cntains summary sectins at the tp fr each partitin, fllwed by cncatenated statements fr each partitin. Default -The primary default statement. It includes Net Asset Value (NAV), Realized and Unrealized and Mark-t-Market (MTM) perfrmance summaries, depsit and withdrawals, dividends, interest, fees, and ther summary infrmatin related t changes in NAV. This default statement supprts the Calendar Year perid. Fr accunts with mdels, the Default statement includes a Mdel Summary at the tp f the statement fllwed by the full Activity Statement fr the accunt. Realized Summary -A simpler statement that includes NAV, Psitins and realized P&L summaries as well as ther summary infrmatin related t changes in NAV. MTM Summary - A simpler statement that includes NAV and Psitin and MTM prfit and lss summaries as well as ther summary infrmatin related t changes in NAV. Cmmdities Regulatry - The Cmmdities Regulatry statement breaks ut dmestic (US) and freign cash/hldings fr the Cmmdities segment f yur accunt (required by Accunt Management Users' Guide 82

5 Default Statements the CME Grup). This type f statement is available fr any accunts that trade futures r futures ptins. Yu can als select ne f ur legacy default statements: Legacy Full - This statement includes ALL sectins f an activity statement; this is the nly default statement that supprts the Yearly perid. Legacy Simple - A simpler statement that includes details but excludes MTM P&L. Legacy Summary - A simple summary statement that includes nly a few sectins. Multi-Accunt Summary - A summary statement fr linked accunts and multi-accunt structures. T view an activity statement frm Accunt Management 1. Click Reprts > Activity > Statements. The Statements page appears by default. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select ne r mre accunts n which t reprt. T include activity frm accunts yu have recently clsed, select the Accunt Management Users' Guide 83

6 Default Statements Include Clsed Accunts check bx. If yu chse t include clsed accunts, thse accunts appear in the Accunt Selectr. 2. In the Statements list, select the default statement r ne f yur wn saved custmized statements that yu want t view. 3. In the Date(s) fields, select the Perid (Daily, Custm Date Range, Mnthly r Calendar Year) and a Date. Fr Custm Date Range, select the Frm and T dates, which define the perid cvered by the statement. Fr Daily statements, yu can select a specific date r the last business day. Fr Mnthly statements, yu can select the last mnth r a specific mnth. Fr Calendar Year (annual) statements, yu can select a specific year. Fr Cmmdity Regulatry Statements, yu can select Daily r Custm Date Range. Data is available frm 5/29/2015 frward. 4. If yu have a multiple accunt structure, selected mre than ne accunt in the Accunt Selectr, and want t view a cnslidated statement, select the Cnslidate Selected check bx. This check bx ONLY appears if yu selected mre than ne accunt in the Accunt Selectr (r if yu selected ne r mre accunts in a Husehld in the selectr). Yu can als generate statements fr all accunts in a single statement (multiple statements are jined tgether in a single statement) if yu select yur wn master accunt in the Accunt Selectr and then select the Cncatenate All check bx. Advisrs, Mney Managers and Brkers and master accunt users with reprting access rights wh select their wn master accunt in the Accunt Selectr have access t clientnly cnslidated and cncatenated statements. Select Cnslidated (Clients-Only) t generate activity data fr all clients cmbined int a single statement, r Cncatenate All Accunt Management Users' Guide 84

7 Default Statements (Clients-Only) t generate statements fr all client accunts in a single statement (multiple client statements are jined tgether in a single statement). 5. In the Frmat list, select either HTML/WEB, PDF, CSV r Excel (Legacy), depending n hw yu want t view the statement. Fr ur clients wh want a frmat cmpatible with Micrsft Excel, we recmmend selecting CVS; hwever, we will cntinue t make the Excel (Legacy) frmat available. 6. In the Language list, select yur desired language. 7. Click View t generate the activity statement. If yu selected PDF as the Frmat, yu will be prmpted t pen the generated reprt r save it t yur cmputer. 8. Yu can expand and cllapse each sectin f the statement individually. Click the slate blue sectin heading bar t expand a sectin, and click it again t cllapse it. Accunt Management Users' Guide 85

8 Creating Custmized Statements Creating Custmized Statements We let yu create and save custmized statements that enable yu t exclude unnecessary infrmatin frm activity statements. Custmized statements let yu select nly thse sectins that yu want t include in yur activity statement, as well as additinal statement ptins. If yu want yur custmized statements delivered by r FTP n a daily r mnthly basis, yu can als select delivery settings t be saved with the statement. T create a custmized statement 1. Click Reprts > Activity > Statements. The Statements page appears by default. Accunt Management Users' Guide 86

9 Creating Custmized Statements 2. Click the Custmize Yur Statements bar t expand that sectin. 3. In the Create New/Select t Edit list, select Create New, then enter a name fr the statement in the Statement Name field, r select ne f the default statements as the basis fr yur custmized statement (Default, MTM Summary, Realized Summary r Multi-Accunt Summary). Accunt Management Users' Guide 87

10 Creating Custmized Statements 4. Yu can als edit an existing statement and save it under a new name. T edit an existing custmized statements, select it frm the Create New/Select t Edit list. 4. Select the check bx next t each sectin yu want t include in an activity statement. Select ALL t include all sectins in yur custmized statement. 5. In Optinal Sectins, select the check bx next t each sectin yu want t include in yur statement. 6. In Sectin Cnfiguratins, select the check bx next t each ptin yu want t apply t yur statement. 7. In the Prfit and Lss list, select the prfit and lss frmat fr the statement. Select MTM and Realized P/L, Realized P/L Only, MTM Only, r Nne. 8. Select ne f the fllwing frm the Statement Type list: 9. If yu are an Executins Services custmer, select either Activity Statement r Executin Settlement. Executin Settlements shw activity by settlement date instead f trade date. If yu select Executin Settlement, filter the settlement by brker name r brker accunt using the fields prvided. 10. If yu are a Prime Services custmer,select Activity Statement, Settlement r Prjected Settlement. Prime Settlements shw activity by settlement date; Prjected Prime Settlements shw activity by prjected settlement date. Accunt Management Users' Guide 88

11 Creating Custmized Statements 11. If yu want t view yur statements n yur mbile device, in the Statement Type list, select Mbile Summary. The Mbile Summary is a scaled-dwn statement designed t be viewed n a mbile device. 12. In the Custmize Statements Delivery Settings sectin, specify additinal infrmatin fr custmized activity statement that yu want t be sent via . Enter the fllwing infrmatin fr custmized statements that will be delivered via Accunt: Select accunt ID, ALL r CONSOLIDATED. Select ALL t apply the statement t the master accunt and all sub accunts (r linked accunts). A separate will be sent fr each accunt. (If yu select FTP n the Delivery Settings page in Reprt Management, all files will be delivered t the FTP site, but the directry will be appended with the reprt date fr rganizatinal purpses.) Althugh and FTP delivery methds are available, we recmmend that Advisrs and Brkers chse FTP as their delivery methd fr custmized statements with ALL accunts selected. Advisrs and Brkers wh select as the delivery methd fr custmized statements with ALL accunts selected, yu will get an ed statements fr each client r sub accunt. Activity Perid: Select Daily r Mnthly. Frmat: Select HTML/WEB, PDF r Excel. Language: Select yur language frm the list. 13. Click Save t save yur statement template. Accunt Management Users' Guide 89

12 Custmized Statements Prfit and Lss Selectin Yur custmized statement will nw appear in the Available Statements drp-dwn in the View Statements sectin f the page. Custmized Statements Prfit and Lss Selectin When yu create a custmized statement, yu can select ne f the fllwing Prfit and Lss ptins: MTM and Realized P/L Realized P/L Only MTM Only Nne Yur selectin affects which sectins and which clumns appear in certain sectins in yur statement. Nte that default statements use the MTM and Realized P/L Prfit and Lss setting. The fllwing figure shws hw yur prfit and lss selectin affects custmized Activity Statements. Accunt Management Users' Guide 90

13 Third-Party Dwnlads Third-Party Dwnlads The Activity Dwnlads page lets yu dwnlad daily and mnthly activity statements int any ne f the fllwing sftware: Micrsft Wrd Micrsft Mney Quicken Tradelg GainsKeeper Captls (Legacy) In additin, the fllwing dwnlads are available upn request: Daily Captls Dwnlads - Daily Captls dwnlads are available fr custmers upn request. Send yur request t enable Captls dwnlads t reprtingintegratin@interactivebrkers.cm. Nte that Captls dwnlads are nt available t Nn- Disclsed Brker Clients. If yu request Daily Captls Dwnlads, the Activity Dwnlads page will cntain an additinal sectin fr Daily Captls Dwnlads. Daily PrtfliCenter /MrningstarDwnlads fr Advisrs (fr advisr accunts nly). PrtfliCenter is a prduct f Schwab Perfrmance Technlgies, a subsidiary f The Charles Schwab Crpratin. If yu are dwnlading yur statements fr use in a prprietary prgram that requires a set frmat, use Activity Flex Queries instead f Activity Dwnlads. Wh can access the Activity Dwnlads page? Yu can access this page if yu are a(n): Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Advisr Client User Individual Accunt Management Users' Guide 91

14 Third-Party Dwnlads Advisr Client User Organizatin Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Investment Manager Master User Fund Administratr wh is subscribed (linked) t a client accunt. T dwnlad activity statements 1. Click Reprts > Activity > Dwnlads. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select an accunt n which t reprt. T dwnlad a statement fr a clsed accunt, select the Include Clsed Accunts check bx, and then select the clsed accunt. The Accunt Selectr is clsed nce yu select an accunt. T change the selected accunt, click the tab t pen the Accunt Selectr, and then click a different accunt. 2. Make the fllwing selectins: In the Date fields, select the Perid (Daily, Mnthly r Custm Date Range) and a Date. Fr Custm Date Range, select the Frm and T dates, which define the perid cvered by the statement yu want t dwnlad. Nte that dwnlads t Quicken (.OFX frmat) can g back 90 days. Accunt Management Users' Guide 92

15 Third-Party Dwnlads Select a dwnlad frmat frm the Frmat drp-dwn. Advisrs can dwnlad t PrtfliCenter/Mrningstar; they can dwnlad all six files in a single zip file. 3. Click Dwnlad. A new brwser windw pens, infrming yu that the reprt was generated successfully. 4. Open the generated reprt with the apprpriate applicatin, r dwnlad the reprt t yur cmputer. Accunt Management Users' Guide 93

16 If Yu are Dwnlading a Zip File Using Internet Explrer 7 r 8 If Yu are Dwnlading a Zip File Using Internet Explrer 7 r 8 If yu are dwnlading a Zip file using Internet Explrer 7 r 8, verify that autmatic prmpting fr file dwnlads is enabled. T verify that autmatic prmpting fr file dwnlads is enabled 1. In Internet Explrer, select Internet Optins frm the Tls menu. 2. In the Internet Optins dialg bx, select the Security tab. 3. Click the Custm Level... buttn. 4. Scrll dwn t the Dwnlads sectin. 5. Autmatic prmpting fr file dwnlads shuld be enabled. Activity Flex Queries The Activity Flex Queries page lets yu create highly custmized reprt templates fr activity statements. Flex queries let yu specify exactly which fields yu want t view in yur Activity Statement, the time perid yu want the reprt t cver, the rder in which yu want the fields t display, and the display frmat, TEXT r XML, in which yu want t view yur reprt. Yu can create multiple Flex Queries with different fields fr each statement. All f yur Flex Queries are stred in Accunt Management, and can be easily run frm the Activity Flex Queries page. An activity Flex Query is different frm a custmized activity statement in that yu can custmize a Flex Query at the field level, allwing yu t include and exclude detailed field infrmatin. Custmized statements nly let yu include and exclude sectins. The Flex Queries page lets yu create a new Flex Query r edit an existing Flex Query. Existing Flex Queries are displayed in the Saved Flex Queries sectin f the page. Yu can als edit default Flex Queries fr Trades and Psitins, then use thse queries as the basis fr yur wn Flex Queries. Saved Flex Queries are available fr the fur previus calendar years and frm the start f the current calendar year. Wh can access the Flex Queries page? Yu can access this page if yu are a(n): Accunt Management Users' Guide 94

17 Activity Flex Queries Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Advisr Client User Individual Advisr Client User Organizatin Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Investment Manager Master User Fund Accunt Management Users' Guide 95

18 Activity Flex Queries T create an activity Flex Query 1. Click Reprts > Activity > Flex Queries. 2. D any f the fllwing: T create a new query, click Create New Flex Query. T run an existing query, click Run fr the query. T edit an existing query, click Edit fr the query, then make yur changes t the query and click Save Query. T delete an existing query, click Delete. T add the Default Trades query, click Create Default Trades Query. T add the Default Psitins query, click Create Default Psitins Query. Nte that when yu add a default query t the list, the buttn disappears frm the page. If yu delete a default query frm the list, the buttn re-appears. Accunt Management Users' Guide 96

19 Activity Flex Queries 3. If yu clicked Create New Flex Query, a new page appears n which yu create yur new Flex Query. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select ne r mre accunts n which t reprt. T include activity frm accunts that yu have recently clsed, select the Include Clsed Accunts check bx. If yu chse t include clsed accunts, thse accunts appear in the Accunt Selectr. 4. Make selectins and set ptins in the General Cnfiguratin and Date Cnfiguratin sectins. Accunt Management Users' Guide 97

20 Activity Flex Queries In the Query Name field, enter the name f the Flex Query. In the Output Frmat list, select Text r XML. If yu select Text, yu must als chse a delimiting character (cmma, pipe r tab character), and ptinally chse t include header and trailer recrds; clumn headers; and sectin cde and line descriptrs. Select ther ptins as required. Nte that the Cnslidated and All ptins are nly available when the master accunt has been selected in the Accunt Selectr. In the Date Cnfiguratin sectin, select the perid fr the Flex Query, r enter a range f dates in the Frm Date and T Date fields. The fllwing perids are available: Last Business Day Last Mnth Last 30 Calendar Days Last 365 Calendar Days Mnth t Date Accunt Management Users' Guide 98

21 Activity Flex Queries Year t Date Last Business Week (Mn-Fri) Last N Calendar Days (when yu select this ptin, yu must then select a number frm 1 t 365 frm a drp-dwn) In the Date Cnfiguratin sectin, select a Date Frmat, Time Frmat and Date/Time Separatr: Available date frmats are: yyyymmdd (default) yyyy-mm-dd MM/dd/yyyy MM/dd/yy dd/mm/yyyy dd/mm/yy dd-mmm-yy Available time frmats are: HHmmss (default) HH:mm:ss Available date/time separatrs are: ; (semi-cln, the default), (cmma) '' (single-spaced) N separatr Accunt Management Users' Guide 99

22 Activity Flex Queries Advisrs, Mney Managers and Brkers and master accunt users with reprting access rights wh select their wn master accunt in the Accunt Selectr have access t clientnly cnslidated and cncatenated statements. Select Cnslidated (Clients-Only) t generate activity data fr all clients cmbined int a single statement, r Cncatenate All (Clients-Only) t generate statements fr all client accunts in a single statement (multiple client statements are jined tgether in a single statement). 5. Advisrs wh have created mdels in Trader Wrkstatin can include mdel infrmatin in their Activity Flex Queries. In the Mdels sectin f the page, select ne f these ptins: All - Include data fr all mdels jined tgether. If yu select this ptin, accunts that d nt have mdels will als be included. Cnslidated - Include cnslidated data fr all mdels and a single accunt. Select a Mdel - Select this check bx t view available mdels in the Mdel drpdwn list. Select a mdel frm the drp-dwn t view a statement fr a single mdel. Only mdels that have been created in Trader Wrkstatin fr the selected accunt(s) will appear. If yu select the Independent mdel, accunts that d nt have mdels will als be included. 6. T specify which fields in which sectins t include, click each sectin t expand it, then select the fields t include in the Flex Query in each sectin by highlighting the fields in the Fields Available list, then using the green right arrw t mve the fields t the Fields Included list. Use the green left arrw t mve fields frm the Fields Included list (and exclude the fields frm the reprt). Accunt Management Users' Guide 100

23 Batch Reprts 7. Click Save Query. The saved query will nw appear in the list f saved queries n the Activity Flex Queries page. Fr mre infrmatin Users' Guide Activity Flex Query Reference Batch Reprts Requests fr Activity Statements and Activity Flex Queries with a large amunt f activity are placed in a queue fr batch prcessing. Specifically, any Activity Statement r Activity Flex Query request that includes ver 20,000 activities (activities are mstly trades but can als include transfers, dividend payments, crprate actins, etc.) r ver 250 accunts will be autmatically submitted fr batch prcessing. If yu try t view ne f these reprts, yu will receive a message indicating that it has been submitted fr batch prcessing. Nte: We n lnger batch-prcess statements that are larger than 100 MB due t prblems that this causes n ur web server. Yu can request that yur accunt be Accunt Management Users' Guide 101

24 Batch Reprts cnfigured fr FTP delivery f such statements by cntacting us at reprtingintegratin@interactivebrkers.cm. Yu can view the status f these requests n the Batch Reprts page. Activity Statements and Activity Flex Queries listed n the Batch Reprts page have ne f the fllwing statuses: Queued - The reprt has been placed in the queue and will be generated as sn as pssible. In Prgress - The reprt is currently being generated. Cmpleted - The reprt has been generated and can be viewed/dwnladed. Cmpleted batch reprts are available fr seven days. Failed - The reprt generatin failed. T view the status f reprts queued fr batch prcessing Accunt Management Users' Guide 102

25 Mdels 1. Click Reprts > Activity > Batch Reprts. 2. Any reprt with a status f Cmpleted can be viewed and/r dwnladed immediately. Click the View link t view an HTML r PDF reprt r dwnlad a PDF reprt r Flex Query. 3. If a batch reprt has a status f Failed, try running the reprt again. If it fails again, cntact Custmer Service. 4. Click the Refresh link in the lwer right crner f the page t refresh the list f available batch reprts. Mdels Mdels prvide an efficient methd fr advisrs t manage multiple trading strategies fr their clients withut requiring them t pen multiple accunts. Client investments are allcated amng instruments in the Mdel based n the Mdel's allcatin ratis as defined by the advisr. Advisrs and their clients can view Mdel Statements in Accunt Management n the Mdels page, prvided mdels have been created in Trader Wrkstatin. Mdel Statements include additinal infrmatin abut the selected mdel in the Accunt Infrmatin sectin. Wh can access the Mdels page? Yu can access this page if yu are a Financial Advisr, a Mney Manager r an Advisr Client, r a Fund Investment Manager r a Fund AND mdels have been created and saved in yur trading platfrm. T view a Mdel statement 1. Click Reprts > Activity > Mdels. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select an accunt n which t reprt. T view a mdel statement fr a clsed accunt, select the Include Clsed Accunts check bx, and then select the clsed accunt. Accunt Management Users' Guide 103

26 Mdels The Accunt Selectr is clsed nce yu select an accunt. T change the selected accunt, click the tab t pen the Accunt Selectr, and then click a different accunt. 2. In the Perid field, select Daily, Custm Date Range r Mnthly. 3. In the Date field, select a date r a mnth, depending n yur Perid selectin. If yu selected Custm Date Range, enter a Frm and a T date. 4. In the Frmat field, select either HTML/WEB r PDF, depending n hw yu want t view the statement. 5. In the Language field, select yur desired language. 6. Select ptins: Cnslidated - View a cnslidated Mdel Statement fr all mdels and a single accunt. Cncatenate All - View a Mdel Statement that shws data fr all mdels jined tgether in a single statement. Summary - View a Mdel Summary statement that summarizes data fr all mdels fr ne r mre accunts. Accunt Management Users' Guide 104

27 Quarterly Summaries Select a Mdel - Select this check bx t view available mdels in the Mdel drpdwn list. Select a mdel frm the drp-dwn t view a statement fr a single mdel. Only mdels that have been created in Trader Wrkstatin fr the selected accunt(s) will appear. 7. Click View t generate the statement. Quarterly Summaries The Quarterly Summaries page lets advisr clients generate a Brkerage Accunt Quarterly Activity Summary, which is a simplified activity statement fr quarterly perids. Advisr Masters can view quarterly summaries fr their clients. Each quarter yu will receive a hard-cpy f the summary by mail. Using the frm n this page, yu can dwnlad the summary in PDF frmat. There are tw versins f the Quarterly Advisr Client Activity Summary - a default versin and a versin fr Advisrs wh have been granted additinal advisr authrizatins ("full-service" advisrs). The Quarterly Summary PDF includes the fllwing sectins: Accunt Infrmatin Net Asset Value including Change in NAV Open Psitins Trades Depsits and Withdrawals (fr Advisrs wh have been granted additinal advisr authrizatins nly) Other Infrmatin Cdes Wh can access the Quarterly Summaries page? Yu can access this page if yu are a(n): Advisr Master User Individual (view nly) Advisr Master User Organizatin (view nly) Accunt Management Users' Guide 105

28 Trade Cnfirmatins Advisr Client User Individual Advisr Client User Organizatin T view a quarterly summary 1. Click Reprts > Activity > Quarterly Summaries. If yu are an Advisr Master User, use the Accunt Selectr at the tp f the page t select an accunt n which t reprt. The Accunt Selectr is clsed nce yu select an accunt. T change the selected accunt, click the tab t pen the Accunt Selectr, and then click a different accunt. 2. In the Date field, select the fiscal quarter. 3. Click View t generate the summary. The quarterly summary is generated and displayed as a PDF file in a new brwser windw. Trade Cnfirmatins The Trade Cnfirmatins menu includes the fllwing tabbed pages: Accunt Management Users' Guide 106

29 Trade Cnfirmatin Reprts Reprts - View trade cnfirmatin reprts. Trade Allcatins - View pre-trade and pst-trade allcatin details. Flex Queries - Create highly custmized trade cnfirmatin reprts in text r XML frmat. Real-time trade cnfirmatins are generated fr all executins. Yu can view a trade cnfirmatins reprt, which lists trade cnfirmatins separately by asset class. Trade cnfirmatins are available fr the fur previus calendar years and frm the start f the current calendar year. Wh can access the Trade Cnfirmatins page? Yu can access this page if yu are a(n): Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Advisr Client User Individual Advisr Client User Organizatin Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Investment Manager Master User Fund and yu have been granted Reprting access rights. Trade Cnfirmatin Reprts T generate a trade cnfirmatin reprt Accunt Management Users' Guide 107

30 Trade Cnfirmatin Reprts 1. Click Reprts > Trade Cnfirmatins > Reprts. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select an accunt n which t reprt. T generate a Trade Cnfirmatin reprt fr a clsed accunt, select the Include Clsed Accunts check bx, and then select the clsed accunt. The Accunt Selectr is clsed nce yu select an accunt. T change the selected accunt, click the tab t pen the Accunt Selectr, and then click a different accunt. 2. Make the fllwing selectins: In the Date fields, select the dates fr the reprt. In the Frmat field, select HTML/WEB r PDF. In the Language list, select yur desired language. Advisrs, Mney Managers and Brkers and master accunt users with reprting access rights wh select their wn master accunt in the Accunt Selectr have access t clientnly cnslidated and cncatenated reprts. Select Cnslidated (Clients-Only) t Accunt Management Users' Guide 108

31 Trade Allcatins generate trade cnfirmatins fr all clients cmbined int a single reprt, r Cncatenate All (Clients-Only) t generate statements fr all client accunts in a single reprt (multiple client reprts are jined tgether in a single reprt). 3. Click View t generate the reprt. If yu selected PDF as the Frmat, yu will be prmpted t pen the generated reprt r save it t yur cmputer. Summary rws are marked with a plus sign. Click a summary rw t display detail rws; click the summary rw again t clse the detail rws. Trade Allcatins The Trade Allcatin Reprt prvides pre-trade and pst-trade allcatin details. Pst-trade allcatins shuld be available by 6:15 PM Eastern time fr the current trading day. Accunt Management Users' Guide 109

32 Trade Allcatins Wh can access the Trade Allcatins page? Yu can access this page if yu are a Prprietary Trading Grup Master r Sub Accunt and subscribe t ur IBExecutin Service. T run the Trade Allcatins reprt 1. Click Reprts > Trade Cnfirmatins > Trade Allcatins. 2. On the Trade Cnfirmatins screen, make the fllwing selectins: In the Accunt ID list, select the accunt fr which yu want t generate the reprt. If yu are a Master User, the Accunt list will nt appear. Instead, use the Accunt Selectr t select an accunt. The mst recent accunt yu selected is the current accunt when yu cme t this page.yu can switch accunts after yu select an accunt by clicking the Accunt Selectr tab, then selecting a different accunt. In the Frm and T Date fields, select the dates fr the reprt. T filter the reprt by a specific brker name, select a brker name in the Brker Name field. Select All t include all brker names in the reprt. Accunt Management Users' Guide 110

33 Trade Cnfirmatin Flex Queries T filter the reprt by a specific brker accunt, select All in the Brker Name field and select a specific brker accunt in the Brker Accunt field. Select All t include all brker accunts in the reprt. 3. Click View t generate the reprt. Trade Cnfirmatin Flex Queries The Trade Cnfirms Flex page lets yu create multiple, custmized reprt templates fr trade cnfirmatins. A trade cnfirmatin Flex Query lets yu specify the exact fields yu want t view in yur reprt, the time perid yu want the reprt t cver, the rder in which yu want the fields t appear in the reprt, and the display frmat fr the reprt. Yu can create multiple Flex Queries with different fields fr each query. All f yur Flex queries are stred in Accunt Management. Yu can als add a default Flex Query, then use it as the basis fr yur wn by editing it. The Flex Queries page lets yu create a new flex query r edit an existing Flex Query. Existing Flex Queries are displayed in the Saved Flex Queries sectin f the page. Yu can als edit the default Flex Query t use it as the basis fr yur wn Flex Query. Saved Flex Queries are available fr the fur previus calendar years and frm the start f the current calendar year. Wh can access the Trade Cnfirmatin Flex Queries page? Yu can access this page if yu are a(n): Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Advisr Client User Individual Advisr Client User Organizatin Accunt Management Users' Guide 111

34 Trade Cnfirmatin Flex Queries Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Investment Manager Master User Fund and yu have been granted Reprting access rights. Accunt Management Users' Guide 112

35 Trade Cnfirmatin Flex Queries T create a trade cnfirmatin flex query 1. Click Reprts > Trade Cnfirmatins > Flex Queries. 2. D any f the fllwing: T create a new query, click Create New Flex Query. T run an existing query, click Run fr the query. T edit an existing query, click Edit fr the query, then make yur changes t the query and click Save Query. T delete an existing query, click Delete. T add the Default Trade Cnfirmatin Flex Query, click Create Default Flex Query. Nte that when yu add a default query t the list, the buttn disappears frm the page. If yu delete a default query frm the list, the buttn re-appears. Accunt Management Users' Guide 113

36 Trade Cnfirmatin Flex Queries 3. If yu clicked Create New Flex Query, a new page appears n which yu create yur new Flex Query. If yu have a multiple accunt structure such as an institutin accunt r multiple linked accunts, use the Accunt Selectr at the tp f the page t select ne r mre accunts n which t reprt. T include accunts that yu have recently clsed, select the Include Clsed Accunts check bx. If yu chse t include clsed accunts, thse accunts appear in the Accunt Selectr. 4. Make selectins and set ptins in the Cnfiguratin sectins as fllws: Accunt Management Users' Guide 114

37 Trade Cnfirmatin Flex Queries In the Query Name field, enter the name f the flex query. In the Output Frmat list, select Text r XML. If yu select Text, yu must als chse a delimiting character (cmma, pipe r tab character), and ptinally chse t include header and trailer recrds; clumn headers; and sectin cde and line descriptrs. Select ther ptins as required. Nte that the Cnslidated and All ptins are nly available when the master accunt has been selected in the Accunt Selectr. Accunt Management Users' Guide 115

38 Trade Cnfirmatin Flex Queries In the Date Cnfiguratin sectin, select the perid fr the Flex Query, r enter a range f dates in the Frm Date and T Date fields. The fllwing perids are available: Tday Last Business Day Last Mnth Last 30 Calendar Days Last 365 Calendar Days Mnth t Date Year t Date Last Business Week (Mn-Fri) Last N Calendar Days (when yu select this ptin, yu must then select a number frm 1 t 365 frm a drp-dwn) In the Date Cnfiguratin sectin, select a Date Frmat, Time Frmat and Date/Time Separatr: Available date frmats are: yyyymmdd (default) yyyy-mm-dd MM/dd/yyyy MM/dd/yy dd/mm/yyyy dd/mm/yy dd-mmm-yy Available time frmats are: HHmmss (default) HH:mm:ss Available date/time separatrs are: ; (semi-cln, the default), (cmma) '' (single-spaced) N separatr Accunt Management Users' Guide 116

39 PrtfliAnalyst Advisrs, Mney Managers and Brkers and master accunt users with reprting access rights wh select their wn master accunt in the Accunt Selectr have access t client-nly cnslidated and cncatenated reprts. Select Cnslidated (Clients- Only) t generate trade cnfirmatins fr all clients cmbined int a single reprt, r Cncatenate All (Clients-Only) t generate statements fr all client accunts in a single reprt (multiple client reprts are jined tgether in a single reprt). 5. In the Trade Cnfirmatin Cnfiguratin sectin, Select the fields t include in the Flex Query in by highlighting the fields in the Fields Available list, then using the green right arrw t mve the fields t the Fields Included list. Use the green left arrw t mve fields frm the Fields Included list (and exclude the fields frm the reprt). 6. In the Trade Cnfirmatin Cnfiguratin sectin, select yur desired level f detail: Symbl Summary, Order r Executin. Executin is the default setting. 7. Click Save Query. The saved query will nw appear in the list f saved queries n the Trade Cnfirmatin Flex Queries page. Fr mre infrmatin User's Guide PrtfliAnalyst PrtfliAnalyst allws yu t evaluate the perfrmance f yur prtfli by creating and saving reprts based n a set f measurement criteria and ptinally cmparing their data t selected industry benchmarks. Once yu create and save reprts, yu can run, edit r delete them. Institutinal accunt Master users (Advisr Masters, Brker Masters, Fund Investment Managers and Prprietary Trading Grup Masters) can als create and save synpses, which are text-based cver letters that yu can assign t PrtfliAnalyst reprts. PrtfliAnalyst lets yu: Accunt Management Users' Guide 117

40 PrtfliAnalyst Create Detailed Reprts - Select any cmbinatin f reprts fr a variety f perfrmance analysis. Save yur reprts in PDF r cmma-separated values (CSV) frmat. Create Snapsht PDF reprts - One-page summaries f an accunt's return, NAV, asset allcatin and distributin f returns. View yur prtflis f external investment accunts Yu can als create yur wn custm benchmarks and select them when creating a Snapsht r Detailed reprt. Wh can access the PrtfliAnalyst page? Yu can access this page if yu are a(n): Individual, Jint, Trust r IRA Accunt User Small Business Accunt User Friends and Family Grup Master r Client User Advisr Master User Individual Advisr Master User Organizatin Advisr Client User Individual Advisr Client User Organizatin Prprietary Trading Grup Master User Prprietary Trading Grup Sub User Brker Master User (master accunt nly) Brker Fully Disclsed Client User Brker Fully Disclsed Client User Organizatin Brker Nn-Disclsed Client User Investment Manager Master User Fund and yu have been granted Reprting access rights. Here is the PrtfliAnalyst main page: Accunt Management Users' Guide 118

41 PrtfliAnalyst PrtfliAnalyst currently includes the ability t view yur prtflis and psitins held at ther institutins. Institutin accunts willl see an extra tabbed page fr creating and managing synpses). Accunt Management Users' Guide 119

42 Snapsht PDF Reprts Snapsht PDF Reprts The Snapsht is a ne-page reprt that displays graphs and charts representing an accunt's return, Net Asset Value (NAV), asset allcatin and distributin f returns. The Snapsht gives yu a dwnladable and printable summary f an accunt s perfrmance and is suitable fr presentatin t advisr and brker clients. Optinally, yu can include a benchmark cmparisn t cmpare yur wn perfrmance against an industry standard benchmark r yur wn custm benchmark. T create and run a Snapsht PDF reprt in PrtfliAnalyst 1. Click Reprts > PrtfliAnalyst. PrtfliAnalyst includes default Snapsht PDF reprts. These are displayed n the Default Reprts tab, which appears when yu first pen PrtfliAnalyst. Run these reprts r any ther in the list by clicking the PDF icn in the Snapsht clumn f the Default Reprts tab. 2. Click the Custm Reprts tab. This tab lists all f yur previusly created and saved custm PrtfliAnalyst reprts. Accunt Management Users' Guide 120

43 Snapsht PDF Reprts 3. Click CREATE REPORT. 4. If yu are a Master accunt user respnsible fr client r sub accunts r yu have multiple linked accunts, select ne r mre accunts in the Accunt Selectr. The reprt settings appear. 5. Type the name f the new reprt in the Name field. 6. If yu are a Master accunt user, the Assign Synpsis buttn appears. Optinally, assign previusly created synpses t the PrtfliAnalyst reprt: Accunt Management Users' Guide 121

44 Snapsht PDF Reprts Click Assign Synpsis. In the Assign Synpsis dialg, select a previusly-saved synpsis, select the accunts whse reprts t which yu want t attach the synpsis, then click Assign. Click Apply t apply yur selectins. 7. Select a time perid: Select Daily, Mnthly, Quarterly, Previus Mnth, Previus Quarter, Mnth T Date, Year T Date r Since Inceptin (since the inceptin f yur accunt), depending n hw yu want t view the data. If yu selected a daily time perid, select a starting and ending date (up t a maximum f 60 days) using the calendar ppup. If yu selected a mnthly time perid, select a starting and ending mnth. If yu selected a quarterly time perid, select a starting and ending quarter. Click the icns next t the Starting Perid and Ending Perid fields t pick dates frm a calendar. Analysis results include data available frm January 2008 t the present. 8. Fr Perfrmance Measure, select Time Weighted Return r Mney-Weighted Return. Time-Weighted Return (TWR):Select this metric t view the percent return prduced ver time independent f cntributins r withdrawals. TWR eliminates the impact f the timing f fund cash flws and islates the prtin f a prtfli's return that is attributable slely t the manager's actins. TWR is typically used fr public fund managers because they nrmally d nt cntrl cash flwing int r ut f their funds. Mney-Weighted Return (MWR): Select this metric t view the perfrmance f yur prtfli during the specified reprt perid. MWR is calculated using the Mdified Deitz methd and is influenced by the time f decisins t cntribute r withdraw funds, as well as the decisins made by the prtfli manager f a fund. Accunt Management Users' Guide 122

45 Snapsht PDF Reprts 9. Select Snapsht as the Reprt Type. 10. Chse hw yu want yur accunt number t appear n yur reprt in the Accunt Number Display sectin: Use Accunt Number: Select this ptin t include yur Accunt ID n yur reprt. Use Accunt Alias: Select this ptin t include yur Accunt Alias n yur reprt if yu want t hide the actual Accunt ID. 11. If yu are an Advisr, Mney Manager, Brker, Prprietary Trading Grup STL Accunt Master r yu have multiple linked accunts and yu have selected multiple accunts in the Accunt Selectr, yu have the ptin f created a cnslidated Snapsht reprt fr all f the selected accunts. Click the Cnslidate check bx t create create a cnslidated Snapsht reprt, which includes a single set f data frm all f the accunts that yu have selected. If yu select nly ne accunt in the Accunt Selectr, click the Cnslidate All check bx t create a cnslidated reprt which includes a single set f data frm all accunts. 12. Optinally, yu can include a benchmark cmparisn in yur Snapsht reprt. When yu select the Snapsht radi buttn, the Select Benchmarks sectin appears. Select up t three benchmarks frm the list f Available benchmarks (including yur wn custm benchmarks) then click the right arrw buttn t mve them int the Selected list. Select ne r mre benchmarks using the Ctrl+click keybard cmbinatin. Mve benchmarks ut f the Selected list by selecting them then clicking the left arrw buttn. Accunt Management Users' Guide 123

46 Snapsht PDF Reprts 13. Click SAVE t save the reprt. Once yu save a reprt, it will appear in the list f saved PDF reprts. 14. Click CANCEL t cancel the reprt. 15. View the reprt by clicking the Run icn in the list f saved reprts. Yur reprt appears in a new windw. If there is a negative Net Asset Value during the time perid yu select fr yur Snapsht reprt, the reprt will nt be generated. The Snapsht includes the fllwing sectins: Accunt Infrmatin: Displays yur accunt name and number, accunt alias if yu have ne, yur base currency, accunt type and the specified time perid. Return Over Time: Displays a line chart shwing the accunt's return percentage ver the specified time perid. Net Asset Value: Displays a bar chart shwing the accunt's Net Asset Value ver the specified time perid. Distributin f Returns: Displays a bar chart shwing the range f return percentage fr each day, mnth r quarter in the specified time perid and the number f times the return perfrmance fell within that range fr the entire perid. Key Statistics: Displays several statistics fr the specified time perid, including beginning and ending NAV, return percentages (depending n yur selected time perid), the best return and the wrst return. Asset Allcatin: Displays tw pie charts, ne representing the accunt's asset allcatin at the beginning f the specified time perid and ne representing the accunt's asset allcatin at the end f the specified time perid. The fllwing example shws a typical Snapsht reprt. Accunt Management Users' Guide 124

47 Detailed PDF Reprts Detailed PDF Reprts Detailed PDF reprts let yu select any cmbinatin f reprts, including benchmark cmparisns, fr a variety f perfrmance analysis. Yu can als create yur wn custm benchmarks. T create and run a Detailed reprt in PrtfliAnalyst Accunt Management Users' Guide 125

48 Detailed PDF Reprts 1. Click Reprts > PrtfliAnalyst. PrtfliAnalyst includes default PDF and CSV-frmatted Detailed reprts. These are displayed n the Default Reprts tab, which appears when yu first pen PrtfliAnalyst. Run these reprts r any ther in the list by clicking the PDF r CSV icns in the Detailed clumn f the Default Reprts tab. 2. Click the Custm Reprts tab. This tab lists all f yur previusly created and saved custm PrtfliAnalyst reprts. Accunt Management Users' Guide 126

49 Detailed PDF Reprts 3. Click Create Reprt. 4. If yu are a Master accunt user respnsible fr client r sub accunts r yu have multiple linked accunts, select ne r mre accunts in the Accunt Selectr. The reprt settings appear. 5. Type the name f the new reprt in the Name field. 6. If yu are a Master accunt user, the Assign Synpsis buttn appears. Optinally, assign previusly created synpses t the PrtfliAnalyst reprt: Click Assign Synpsis. In the Assign Synpsis dialg, select a previusly-saved synpsis, select the accunts whse reprts t which yu want t attach the synpsis, then click Assign. Click Apply t apply yur selectins. Accunt Management Users' Guide 127

50 Detailed PDF Reprts 7. Select a time perid: Select Daily, Mnthly, Quarterly, Previus Mnth, Previus Quarter, Mnth T Date, Year T Date r Since Inceptin (since the inceptin f yur accunt), depending n hw yu want t view the data. If yu selected a daily time perid, select a starting and ending date (up t a maximum f 60 days) using the calendar ppup. If yu selected a mnthly time perid, select a starting and ending mnth. If yu selected a quarterly time perid, select a starting and ending quarter. Click the icns next t the Starting Perid and Ending Perid fields t pick dates frm a calendar. Analysis results include data available frm January 2009 t the present. 8. Select Detailed as the Reprt Type. 9. Select the utput frmat fr the reprt (CSV r PDF). 10. Fr Perfrmance Measure, Time-Weighted Return (TWR) is already selected fr yu, select Time Weighted Return r Mney-Weighted Return. Mney-Weighted Return (MWR): Select this metric t view the perfrmance f yur prtfli during the specified reprt perid. MWR is calculated using the Mdified Deitz methd and is influenced by the time f decisins t cntribute r withdraw funds, as well as the decisins made by the prtfli manager f a fund. Time-Weighted Return (TWR): Select this metric t view the percent return prduced ver time independent f cntributins r withdrawals. TWR eliminates the impact f Accunt Management Users' Guide 128

51 Detailed PDF Reprts the timing f fund cash flws and islates the prtin f a prtfli's return that is attributable slely t the manager's actins. TWR is typically used fr public fund managers because they nrmally d nt cntrl cash flwing int r ut f their funds. 11. Chse hw yu want yur accunt number t appear n yur reprt: Use Accunt Number: Select this ptin t include yur Accunt ID n yur reprt. Use Accunt Alias: Select this ptin t include yur Accunt Alias n yur reprt if yu want t hide the actual Accunt ID. 12. Optinally, yu can include cver page and table f cntents with yur Detailed PDF reprt by checking the apprpriate Optinal Pages check bxes. 13. If yu are an Advisr, Mney Manager, Brker, Prprietary Trading Grup STL Accunt Master r yu have multiple linked accunts and yu have selected multiple accunts in the Accunt Selectr, yu have the ptin f created a cnslidated Snapsht reprt fr all f the selected accunts. Click the Cnslidate check bx t create create a cnslidated Detailed reprt, which includes a single set f data frm all f the accunts that yu have selected. If yu select nly ne accunt in the Accunt Selectr, click the Cnslidate All check bx t create a cnslidated reprt which includes a single set f data frm all accunts. If yu have selected the Cnslidate r Cnslidate All check bx, yu can select the Breakdwn f Accunts reprt, which prvides key accunt values fr the accunts that yu have chsen t cnslidate. 14. Detailed PDF reprts can cntain the fllwing distinct reprts fr each selected accunt. Click the check bx t include a reprt. Nte that this sectin is nt available in Snapsht reprts. Accunt Management Users' Guide 129

52 Detailed PDF Reprts See Available Reprts in Detailed PDF Reprts fr descriptins f these reprts. 15. If yu select any f the benchmark reprts, the Select Benchmarks sectin appears. Select up t three benchmarks frm the list f Available benchmarks (including yur wn custm benchmarks) then click the right arrw buttn t mve them int the Selected list. Select ne r mre benchmarks using the Ctrl+click keybard cmbinatin. Mve benchmarks ut f the Selected list by selecting them then clicking the left arrw buttn. The same set f benchmarks will apply t all the benchmark reprts that yu select. 16. Click Save t save the reprt. Once yu save a reprt, it will appear in the list f saved reprts. 17. View the reprt by clicking the Run icn in the list f saved reprts. Yur reprt appears in a new windw. Fr CSV-frmatted reprts, yu will be prmpted t save the reprt t yur cmputer, where yu can pen the file in a prgram like Micrsft Excel. Accunt Management Users' Guide 130

53 Available Reprts in Detailed PDF Reprts If there is a negative Net Asset Value during the time perid yu select fr yur Detailed reprt, the reprt will nt be generated. Available Reprts in Detailed PDF Reprts When create a Detailed PDF Reprt, yu can select any f the fllwing reprts t include in the final PDF reprt: Reprt Breakdwn f Accunts Accunt Overview Descriptin Available nly t institutin accunts and multiple linked accunts wh have selected multiple accunts and the Cnslidate ptin, this reprt shws the Beginning and Ending NAV, Return, and the ttal amunts f Depsits, Withdrawals, Dividends, Interest and Fees fr each selected accunt. Displays general settings, including accunt name and number, accunt alias, base currency and the specified time perid. It als displays the perfrmance f yur prtfli fr the specified time perid, including beginning and ending Net Asset Value (NAV) and return percentage based n yur selected time perid and perfrmance measurement (TWR r MWR). A clr-cded bar chart plts NAV ver time, and a clr-cded line chart shws the return percentage (TWR r MWR) ver the same time scale. Additinal perfrmance statistics are als included in the Overview sectin. Open Psitin Summary Shws all current pen psitins in the selected accunt(s). The reprt utput shws tw pie charts: the five lng pen psitins that have the highest market value, and the five shrt psitins with the highest market value. The utput als displays a table f all pen psitins srted by prduct, then currency, then symbl. The table includes the quantity, clsing price, current market value and the percent f yur ttal Net Asset Value fr that psitin. If yu select this reprt but there are n pen psitins during the Accunt Management Users' Guide 131

54 Available Reprts in Detailed PDF Reprts Reprt Descriptin specified time perid, the reprt will be mitted frm yur results. Allcatin by Asset Class Displays a clr-cded bar chart and table that illustrates the NAV f all assets in yur prtfli fr each day, mnth r quarter in the specified time perid. If yu select this reprt but there are n pen psitins during the specified time perid, the reprt will be mitted frm yur results. Allcatin by Sectr Displays a clr-cded bar chart and table that illustrates the NAV f stcks and ptins in yur prtfli by sectr fr each day, mnth r quarter in the specified time perid. If yu select this reprt but there are n pen psitins during the specified perid, the reprt will be mitted frm yur results. Allcatin by Regin Time Perid Perfrmance Statistics Displays clr-cded pie charts and accmpanying tables. One pair f pie charts shws the percentage and amunt f the prtfli s lng and shrt psitins allcated t assets in thse regins. The secnd pair f pie charts shws the cuntries with the highest percentage and amunt f lng and shrt psitin allcatin t assets (Weight %). The tables display the same data. If there are mre than five cuntries t which psitins are allcated, the additinal cuntries appear in the Other categry. Shws the perfrmance f yur prtfli fr a specified time perid as a line chart and a text summary. The line chart plts the return percentage fr the selected perfrmance measure (TWR r MWR) ver time. The text summary includes the beginning and ending NAV, the return percentage (TWR r MWR) fr the time perid, the neand three-mnth return percentage (the three-mnth return nly appears if the time perid is at least six mnths), and the best and wrst return percentage f the perid. Reprts with a mnthly time perid display ne- and three-mnth returns. Reprts with a daily time perid display five- and ten-day returns. Reprts with a quarterly time perid display ne- and twquarter returns. The line chart and text summary are identical t thse Accunt Management Users' Guide 132

55 Available Reprts in Detailed PDF Reprts Reprt Descriptin in the Accunt Overview reprt. Time Perid Benchmark Cmparisn Select up t three glbal industry benchmarks against which yu want t cmpare yur perfrmance results ver a specified time perid. The reprt utput displays a clr-cded line chart cmparing the return percentage (TWR r MWR) f yur prtfli ver time with that f the selected benchmarks. The line chart plts the return percentage fr each day, mnth r quarter ver the specified time perid, and als displays the average return percentage fr the entire time perid. Returns fr ETFs and indices selected as benchmarks include dividends. Cumulative Perfrmance Statistics Shws the cumulative perfrmance f yur prtfli ver a specified time perid as a line chart and a text summary. The line chart plts the return percentage fr the selected perfrmance measure (TWR r MWR) ver time. The text summary includes the beginning and ending NAV, the return percentage (TWR r MWR) fr the time perid, the ne- and three-mnth return percentage (the three-mnth return nly appears if the time perid is at least six mnths), and the best and wrst return percentage f the perid. Reprts with a mnthly time perid display ne- and three-mnth returns. Reprts with a daily time perid display five- and ten-day returns. Reprts with a quarterly time perid display ne- and twquarter returns. The line chart and text summary are identical t thse in the Accunt Overview reprt. Cumulative Benchmark Cmparisn Select up t three glbal industry benchmarks against which yu want t cmpare cumulative perfrmance results ver a specified time perid. The reprt utput displays a clr-cded line chart cmparing the cumulative return percentage (TWR r MWR) f yur prtfli ver time with that f the selected benchmarks. The line chart plts the cumulative return percentage ver the specified time perid, Accunt Management Users' Guide 133

56 Available Reprts in Detailed PDF Reprts Reprt Descriptin aggregating the return percentage fr each successive day, mnth r quarter in the time perid. Returns fr ETFs and indices selected as benchmarks include dividends. Risk Measures Shws the current risk f yur prtfli in a line chart and text summary. The line chart plts Value-Added Mnthly Index (VAMI) ver the specified time perid. VAMI is an index that tracks the mnthly perfrmance f yur prtfli based n a hypthetical initial $1000 investment. The text summary shws a variety f risk measures, including Max Drawdwn, Peak-t-Valley Drawdwn, Recver, Sharpe Rati, Srtin Rati, Calmar Rati, Standard Deviatin, Dwnside Deviatin, Mean Return, Psitive Perids and Negative Perids. In additin, this reprt includes a Distributin f Returns bar chart shwing the range f return percentage fr each day, mnth r quarter in the specified time perid and the number f times the return perfrmance fell within that range fr the entire perid. Risk Measures Benchmark Cmparisn Select up t three glbal industry benchmarks against which yu want t cmpare the current risk f yur prtfli in a line chart and text summary. The line chart plts Value-Added Mnthly Index (VAMI) ver the specified time perid fr yur prtfli and fr yur selected benchmarks. VAMI is an index that tracks the mnthly perfrmance f yur prtfli based n a hypthetical initial $1000 investment. The text summary shws a variety f risk measures fr yur prtfli and fr yur selected benchmarks, including Max Drawdwn, Peakt-Valley Drawdwn, Recver, Sharpe Rati, Srtin Rati, Calmar Rati, Standard Deviatin, Dwnside Deviatin, Mean Return, Psitive Perids and Negative Perids. In additin, this reprt includes a Distributin f Returns bar chart shwing the range f return percentage fr each day, mnth r quarter Accunt Management Users' Guide 134

57 Available Reprts in Detailed PDF Reprts Reprt Descriptin in the specified time perid and the number f times the return perfrmance fell within that range fr the entire perid. Returns fr ETFs and indices selected as benchmarks include dividends. Perfrmance Attributin Shws hw yur asset allcatin and selectin f securities affects yur prtfli s perfrmance when cmpared t the perfrmance f the S&P 500 Index ver a specified time perid. This reprt includes a summary table that shws hw yu utperfrmed r underperfrmed the S&P 500, as well as tw charts and a scatter plt. Fr mre infrmatin abut this reprt, see Running a Perfrmance Attributin Reprt. Perfrmance by Asset Class Perfrmance by Sectr Perfrmance by Symbl Displays a clr-cded bar chart that illustrates the cumulative cntributin t yur prtfli's return by asset class fr each day, mnth r quarter in the specified time perid. Each clr-cded bar in the chart represents the cntributin f all asset classes t each day/- mnth/quarter in the specified time perid.the table shws the return fr each asset class fr each day/mnth/quarter in the specified time perid. Displays a clr-cded bar chart and table that illustrate the cntributin t yur prtfli's return by sectr fr each day, mnth r quarter in the specified time perid. The bars in the bar chart are clrcded by sectr. The table shws the values depicted in the chart. Displays fur charts, a table and tw heat maps representing the perfrmance f the symbls in yur prtfli: Tp Five Cntributrs - This chart displays the five symbls with the highest cntributin t yur prtfli's return. Bttm Five Cntributrs - This chart displays the five symbls with the lwest cntributin t yur prtfli's return. Cntributin by Sectr - This bar chart displays the cntributin f each sectr t yur prtfli's return. Cntributin by Asset Class - This bar chart displays each the Accunt Management Users' Guide 135

58 Available Reprts in Detailed PDF Reprts Reprt Descriptin cntributin f each asset class t yur prtfli's return. Table - Shws data fr all pen r clsed symbls gruped by asset class, including sectr, Average Weight, Return, Cntributin t Return, and Unrealized and Realized P&L in dllar amunts. Sectr Cmpsitin Heat Map - This is a visual representatin f each sectr's cntributin t return. Each sectr blck shws the cntributin t return f each symbl in that sectr. The larger the blck, the larger the cntributin t return. Prtfli Heat Map - This is a visual representatin f the cntributin t return f each symbl in yur prtfli. Green indicates a psitive return while red indicates a negative return. Histrical Perfrmance Shws the histry f yur prtfli's perfrmance in a variety f charts and tables n three pages: The first page f the reprt includes tw charts, a Histry bar chart that shws the cumulative return percentage at different pints in time in the histry f yur accunt (MTD, QTD, YTD, 1 year, 3 year, 5 year and since inceptin), a table that displays the same data as the Histry chart, and a line chart that shws the cumulative return percentages since the inceptin f yur accunt. The secnd page f the reprt includes tw tables. One table displays the mnthly returns f yur accunt fr the past five years (r since the inceptin f yur accunt if it is less than five years ld). The secnd table shws the quarterly returns f yur accunt fr the last five years (r since the inceptin f yur accunt if it is less than five years ld). The third page f the reprt includes a bar chart and a table. The bar chart displays the return percentage f yur prtfli fr the year-t-date and fr each f the last five years, r fewer years if yur accunt has been pen fr less than five years. The table displays the data frm the chart. Accunt Management Users' Guide 136

59 Available Reprts in Detailed PDF Reprts Reprt Descriptin This reprt will nly include 1 Year, 3 Year, 5 Year, Yearly, Quarterly and Mnthly returns if there is data available fr the accunt fr the full perid. Histrical Perfrmance Benchmark Cmparisn Select up t three glbal industry benchmarks against which yu want t cmpare the histry f yur prtfli's perfrmance. This reprt includes the same charts and tables as the Histrical Perfrmance Reprt described abve. Returns fr ETFs and indices selected as benchmarks include dividends. This reprt will nly include 1 Year, 3 Year, 5 Year, Yearly, Quarterly and Mnthly returns if there is data available fr the accunt/benchmark fr the full perid. Trade Summary Depsits and Withdrawals Dividends Shws infrmatin fr all trades made in the selected time perid, gruped by asset type and then by currency. Infrmatin includes symbl; descriptin; sectr; and quantity, average price and prceeds frm buys and sells. Shws the inbund and utbund cash and psitin transfers (including cash depsit and withdrawals) in yur accunt fr a specified time perid. This reprt displays a table that includes the date, type, descriptin and amunt f each inbund and utbund cash and psitin transfer in the time perid f the reprt. The Dividends reprt shws all dividends that ccurred in yur accunt during a specified time perid, including dividend payments, dividend cancellatins, payments in lieu, shrt term and lng term capital gains. The reprt includes a table and a bar chart. Each line item in the table includes the pay date, ex-date, symbl, nte, quantity, dividend per share, estimated frward dividend yield %, estimated annual dividend and amunt during the specified time perid. The reprt als includes a clr cded stacked bar chart illustrating the distributins f dividends during the time perid. Accunt Management Users' Guide 137

60 Running a Perfrmance Attributin Reprt Reprt Interest Details Crprate Actins Fee Summary Descriptin Lists all interest that ccurred in yur accunt during the specified time perid. Each line item in the table includes the date, descriptin and amunt. Lists all crprate actins that ccurred in yur accunt during the specified time perid. Each line item includes the date, type, descriptin and quantity. If yu select this reprt and yu have n crprate actins in the specified time perid, this reprt will nt appear in yur Detailed Reprt. Lists all fees that were charged t yur accunt in the specified time perid. Each line item includes the date, descriptin and amunt f the fee. The amunts are ttaled at the bttm f the list. Running a Perfrmance Attributin Reprt The Perfrmance Attributin Reprt helps yu determine hw yur asset allcatin and selectin f securities affects yur prtfli s perfrmance when cmpared t the perfrmance f the S&P 500 Index. T run a Detailed PDF Reprt with the Perfrmance Attributin Reprt, set up yur Detailed PDF Reprt as yu nrmally wuld, and select Perfrmance Attributin in the Select Reprt(s) sectin f the page. Understanding the Perfrmance Attributin Reprt Table The first part f the Perfrmance Attributin Reprt cntains tw tables: Weighting by Sectr Returns and Attributin Effects by Sectr Weighting by Sectr This table shws hw yur prtfli is allcated amng ten different sectrs, cash and unclassified (anything nt included in ne f the ther sectrs), and hw that allcatin Accunt Management Users' Guide 138

61 Returns and Attributin Effects by Sectr cmpares t the S&P 500 Index. The table has three parts: Beginning Weight, Ending Weight and Average Weight. These tables shw the beginning, ending and average weight fr each sectr in yur prtfli and the S&P 500, and the difference (psitive r negative) between the tw, represented by a percentage. Yu can use this table t see hw under r verweighted yur prtfli is in each sectr cmpared t the S&P 500. Returns and Attributin Effects by Sectr This table lets yu cmpare yur returns in each f the ten sectrs, plus cash and unclassified, t thse f the S&P 500, and view the attributin effects f yur sectr allcatin and stck selectin within each sectr. Attributin effects let yu see why yur returns in a particular sectr were better r wrse than thse f the S&P 500. The Perid Return part f the table shws the abslute return percentage fr each sectr in yur prtfli and fr the S&P 500, and the difference (psitive r negative) between the tw. The Cntributin t Return part f the table measures the cntributin f each sectr t the verall return. The table als illustrates the cntributin f return fr the accunt f each sectr versus the S&P 500. The standard calculatin used t derive the Cntributin t Return is: Perid Return x Beginning Weight = Cntributin t Return The attributin effect part f the table shws the attributin effects f sectr allcatin (Allcatin clumn), the attributin effects f security selectin within each sectr (Selectin clumn), and the ttal attributin effects fr the perid f the reprt. The attributin effect dissects the return and illustrates the reasn fr yur utperfrmance r underperfrmance. The allcatin effect determines whether the verweighting r underweighting f sectrs relative t a benchmark cntributes psitively r negatively t the the accunt s return. Psitive allcatin ccurs when the prtfli is verweighted in a sectr that utperfrms the benchmark, and underweighted in a sectr that underperfrms the benchmark. Accunt Management Users' Guide 139

62 Understanding the Perfrmance Attributin Charts The selectin effect measures the accunt s ability t select securities within a sectr relative t the benchmark. A psitive selectin will ccur if the accunt made better stck selectins within the sectr cmpared t the benchmark. Understanding the Perfrmance Attributin Charts The secnd page f the Perfrmance Attributin Reprt shws tw charts: Cumulative Attributin Effect - This line chart that plts return percentage ver time and cvers the entire time perid f the reprt. Attributin Effect - This chart that shws the allcatin, selectin and ttal attributin effect percentages fr each perid in the reprt. Understanding the Perfrmance Attributin Scatter Plt The third page f the Perfrmance Attributin Reprt displays a scatter plt that shws average weight versus percent cntributin return fr each sectr plus cash and unclassified. The scatter plts lets yu see at a glance hw yur weighting (sectr allcatin) and cntributin t return fr each sectr cmpares t the S&P 500 fr the perid f the return. There are fur quadrants in the scatter plt; each sectr is represented smewhere in the fur quadrants based n its average weight and cntributin t return (bth values are taken frm the tables n the first page f this reprt). The fllwing illustratin shws hw t interpret the scatter plt results; depending n the quadrant in which each sectr appears, its average weight percent and cntributin t return percent either under- r verperfrmed the S&P 500 fr the perid f the reprt. Accunt Management Users' Guide 140

63 Creating Custm Benchmarks Creating Custm Benchmarks While PrtfliAnalyst prvides a large number f standard industry benchmarks fr yu t chse in a Snapsht r Detailed Reprt against which yur prtfli's perfrmance can be cmpared, there may be situatins when a standard benchmark des nt prvide and adequate basis fr cmparisn. In these situatins, yu can create yur wn custm benchmarks in PrtfliAnalyst. Abut Custm Benchmarks Custm benchmarks allw yu t cmbine existing benchmarks already available in PrtfliAnalyst, the cmbined weight f which must equal 100%. When yu select benchmarks fr a specific benchmark cmparisn reprt, yu can chse up t three existing benchmarks including any f yur wn custm benchmarks. The return frmula fr a custm benchmark is calculated as: Σ(Benchmark Weight X Benchmark Return) Here is an example f a custm benchmark. In this example, a custm benchmark has been created by cmbining three existing standard benchmarks: Index Weight Return Russell % 20.00% Accunt Management Users' Guide 141

64 Abut Custm Benchmarks Index Weight Return S&P % 10.00% S&P US High Yield Crprate Bnd 20% 6.00% Based n the weights and returns f each cmpnent benchmark, the return fr this custm benchmark is 13.20%, calculated as: (.40 x.20) + (.40 x.10) + (.20 x.06) = 13.20% Observe the fllwing guidelines when creating custm benchmarks: Yu cannt use an existing custm benchmark as part f a new custm benchmark. Only the standard benchmarks can be used when creating a custm benchmark. Yu must include at least tw standard benchmarks when creating a custm benchmark. Yu can add any number f standard benchmarks t a custm benchmarks, as lng as the ttal weight equals 100%. Each standard benchmark included in a custm benchmark must have a weight between 0 and 100. N standard benchmark in a custm benchmark can have a weight f either 0 r 100. Yu can add multiple standard benchmarks at a time t a custm benchmark. T create a custm benchmark 1. Click Reprts > PrtfliAnalyst. 2. Click the Custm Benchmarks tab. The Custm Benchmarks tab lists all f yur saved custm benchmarks. If yu have nt saved any custm benchmarks, the list will be empty. Fr example, the abbreviatin fr the S&P 500 Index is SPX. Accunt Management Users' Guide 142

65 Abut Custm Benchmarks 3. Click Create Custm Benchmark. 4. Type the name f the custm benchmark in the Name field, and type an abbreviatin in the Abbreviatin field. 5. In the list f available benchmarks, select the first benchmark yu wuld like t include, and then click Add Benchmark. Yu can type the first few characters f the desired benchmark in the entry bx abve the list f benchmarks r type the abbreviatin f the desired benchmark. Nte that yu can select multiple standard benchmarks at a time and add them all at nce t yur custm benchmark. The benchmark is added t the Selected list. 6. Cntinue selecting and add benchmarks t yur custm benchmark as required. Click the Xt delete a benchmark frm the list f selected benchmarks. 7. When yu have finished adding benchmarks, enter the weight f each benchmark in the field prvided. All benchmark weights must equal 100. Accunt Management Users' Guide 143

66 Synpses 8. Click Save t save yur custm benchmark. It will nw be listed n the Custm Benchmarks tab, where yu can edit r delete it. 9. When yu select benchmarks fr a Detailed reprt, yu will be able t select yur custm benchmark. Custm benchmarks are always listed first in the list f benchmarks. Synpses Institutinal accunt Master users (Advisr Masters, Brker Masters, Fund Investment Managers and Prprietary Trading Grup Masters) can create and save synpses, which are text-based cver letters, and then assign them t PrtfliAnalyst reprts. Creating and Saving a Synpsis Yu can create, save, edit r delete a synpsis frm within PrtfliAnalyst. T create and save a synpsis 1. Click Reprts > PrtfliAnalyst. 2. Click CREATE REPORT r click the edit icn fr any saved reprt. Accunt Management Users' Guide 144

67 Creating and Saving a Synpsis 3. Click the Synpses tab. The Manage Synpses tab displays all f yur previusly saved synpses. Frm this tabbed page, yu can view r edit an existing synpsis, delete a synpsis r create a new synpsis. 4. Click CREATE SYNOPSIS. 5. Enter the name f the synpsis in the Title field. 6. Type the text f the synpsis in the Text area up t a maximum f 3000 characters. 7. Click SAVE. Click CANCEL t cancel the peratin. Yu will nw be able t assign this synpsis t a PrtfliAnalyst reprt. Accunt Management Users' Guide 145

68 Assigning a Synpsis t a Reprt Assigning a Synpsis t a Reprt When yu are creating a new PrtfliAnalyst reprt r editing an existing reprt AND yu have selected multiple client, sub r linked accunts in the Accunt Selectr, yu can attach a synpsis (cver letter) t the reprt. T assign a synpsis t a reprt 1. Click Reprts > PrtfliAnalyst. 2. Click CREATE REPORT r click the edit icn fr any saved reprt. 3. If yu are a Master accunt user respnsible fr client r sub accunts r yu have multiple linked accunts, select ne r mre accunts in the Accunt Selectr. 4. Enter r edit the reprt settings as required. 5. Click Assign Synpsis. 6. In the Assign Synpsis dialg, select a previusly-saved synpsis, select the accunts whse reprts t which yu want t attach the synpsis, then click Assign. 7. Click Apply t apply yur selectins t the reprt. 8. Finish entering r editing the PrtfliAnalyst reprt settings as required, then save the reprt. Editing and Deleting Saved PrtfliAnalyst Reprts T delete a saved reprt Accunt Management Users' Guide 146

69 Editing and Deleting Saved PrtfliAnalyst Reprts 1. Click Reprts > PrtfliAnalyst. 2. Click the Custm Reprts tab. 3. Click the Delete icn in the list f saved reprts t delete the reprt. T edit a saved reprt 1. Click Reprts > PrtfliAnalyst. 2. Click the Custm Reprts tab. Accunt Management Users' Guide 147

70 Viewing External Accunts 3. Click the Edit icn in the list f saved reprts, then mdify the reprt as required. 4. Click SAVE when yu are dne editing the reprt. Viewing External Accunts PrtfliAnalyst lets yu view accunts held at financial institutins, including investment and nn-investment accunts, ther than Interactive Brkers at a glance, and drill dwn t see the value f the psitins. T d this, yu use the fllwing tw tabbed pages in PrtfliAnalyst: Summary - View the prir value, current value, percent change in value and returns fr yur IB and external accunts, and drill dwn t view the value f individual psitins. External Accunts - Add, view, edit and delete investment accunts frm financial institutins ther than Interactive Brkers. External accunts are currently NOT available t Advisr and Brker Masters, Mney Managers and Nn-disclsed Brker clients. Accunt Management Users' Guide 148

71 Accunt Summaries Accunt Summaries The PrtfliAnalyst Summary tab lets yu: View the current and prir values and returns fr yur IB and external accunts. View a cnslidated summary f all accunts r view a summary fr each financial institutin. Drill dwn t view the current and prir values f each psitin in each asset class. View a cnslidated summary f all psitins fr all accunts r view specific psitins fr each financial institutin. Drill dwn t view transactins fr any symbl. T use the Summary tab 1. Click Reprts > PrtfliAnalyst. 2. Click the Summary tab. By default, the Summary tab displays the categries in which yu have added external accunts (Banking, Credit Cards, Investment, etc.), alng with prir and current values fr all f yur accunts in each categry. This is the Cnslidated view. Accunt Management Users' Guide 149

72 Accunt Summaries If yu have nt added any external accunts, the Summary page will shw yur accunt (s) held here by default. 3. Click a categry t view all financial institutins that yu have added. 4. Select the current time perid frm the Time Perid drp-dwn: Daily Mnth t Date Year t Date Custm Perid - When yu select this ptin, yu must als enter a starting and ending date. The values and percent change in value will reflect yur time perid selectin. 5. Change the view in the View By drp-dwn (by default, the view shws financial institutins): Cnslidated - Displays prir and current values and percent change fr all asset classes in all accunts. Financial Institutin - Displays prir and current values and percent change fr each financial institutin. Click the dwn arrw next t a financial institutin t display all f the accunts that yu have under fr that institutin. Accunt Management Users' Guide 150

73 Accunt Summaries If yu have multiple accunts fr a financial institutin, yu can click the name f the institutin t expand the view t include all accunts. 6. Yu can drill dwn t view psitins in bth the Cnslidated and Financial Institutin views: In Financial Institutin view, click the individual accunt t display the asset classes in that accunt. Then click an asset class t drill dwn t the individual psitins. Click a link in the breadcrumb display t quickly g back t a previus view. Yu can als change the Time Perid. Accunt Management Users' Guide 151

74 External Accunts In Cnslidated view, click an asset class t view all f the psitins in that asset class fr all f yur accunts. Click a link in the breadcrumb display t quickly g back t a previus view. Yu can als change the Time Perid. External Accunts The PrtfliAnalyst External Accunts tab lets yu: Add external investment accunts; View and edit external investment accunts that yu have already added; Delete external investment accunts frm PrtfliAnalyst. Accunt Management Users' Guide 152

75 Adding an External Accunt Adding an External Accunt T add an external investment accunt t PrtfliAnalyst 1. Click Reprts > PrtfliAnalyst. 2. Click the External Accunts tab. 3. Click Add Accunts. 4. A disclaimer pens in a ppup windw. Read the disclaimer and then click Yes t clse the windw. 5. Select the financial institutin frm the list. Accunt Management Users' Guide 153

76 Adding an External Accunt Yu can type the name f financial institutin where the external accunt is maintained in the search field. This is a smart search field; nce yu start typing the name f the institutin, matching institutins appear in the list belw the field. 6. Once yu have selected yur financial institutin frm the list, click Next. 7. Type the username and passwrd fr yur accunt at the selected financial institutin. Type yur passwrd a secnd time, and then click Next 8. Select the accunts held at the selected financial institutin that yu want t add t PrtfliAnalyst. Fr example, yu may have several different accunts at anther financial institutin but yu nly want t add ne f them t PrtfliAnalyst. Accunt Management Users' Guide 154

77 Adding an External Accunt Click the check bx next t each accunt that yu want t add. Fr each accunt that yu want t add, select the type f accunt: Investment:Brkerage r Investment:Retirement. Click the dwn arrw t view the drp-dwn menu, and then make yur selectins. Each type has several additinal types assciated with it. Fr example, yu can select Retirement and then select IRA as the type f Retirement. 9. If the accunt is successfully added, a cnfirmatin screen pens that lists the accunt(s) yu just added, including the accunt ID and current balance. Accunt Management Users' Guide 155

78 Vewing and Editing External Accunts 10. Click Clse t stp adding accunts r Add Mre Accunts t add mre external accunts. It usually takes until the next business day t lad yur external accunt prtfli data, which yu can see n the Summary tab. Vewing and Editing External Accunts The Manage Accunts screen lets yu view and edit the external accunts that yu have added t PrtfliAnalyst. T view and edit external accunts 1. Click Reprts > PrtfliAnalyst. 2. Click the External Accunts tab. Accunt Management Users' Guide 156

79 Vewing and Editing External Accunts 3. Click MANAGE ACCOUNTS. All external accunts that yu have added t PrtfliAnalyst are listed alng with their current balances. Icns n the right side f the display let yu add r delete accunts under each financial institutin. 4. T change the accunt type f an external accunt: Click the dwn arrw n the left side f the accunt number whse type yu want t change. The accunt expands t display the current accunt type. Accunt Management Users' Guide 157

80 Deleting External Accunts Use the drp-dwn menus t change the accunt type. Click Save when yu have made all f yur changes. 5. T add r delete accunts under a financial institutin: Delete all accunts under a financial institutin by clicking the red minus sign icn n the financial institutin rw (the gray-clred rw with multiple icns). Delete an individual accunt under a financial institutin by clicking the minus sign icn n the specific accunt rw. T add an accunt under an existing financial institutin, click the plus sign icn. Yu will be prmpted t add an accunt as described here. 6. T lg in t an external accunt that yu have added t PrtfliAnalyst, click the windw icn n the financial institutin rw (the last icn n the right). The lgin page fr that accunt will pen in a new brwser page. Deleting External Accunts Yu can easily delete external accunts frm PrtfliAnalyst. Fr example, yu may n lnger maintain an external accunt that yu previusly added. T delete external accunts 1. Click Reprts > PrtfliAnalyst. 2. Click the External Accunts tab. 3. T delete ALL external accunts frm PrtfliAnalyst, click DELETE ALL ACCOUNTS. Click Yes in the cnfirmatin ppup that pens t cmplete the peratin. Accunt Management Users' Guide 158

81 Transactin Cst Analysis 4. T delete individual accunts (fr example, yu may have added multiple accunts under a specific financial institutin but n lnger maintain ne f them): Click Manage Accunts. Clicking the red minus sign icn n the specific accunt rw. In the cnfirmatin ppup, click Delete Institutin t cmplete the peratin. Transactin Cst Analysis Transactin Cst Analysis is a dynamic and interactive analysis f yur trades marked t varius benchmarks gruped in different categries r n a per-rder basis. Transactin Cst Analysis applies t trades f any instrument type and is typically available ten minutes after a trade is executed. Perfrmance metrics are expressed as basis pints (bps) f value traded. Each executed trade in the perid f the analysis is marked t a series f perfrmance benchmarks with the results displayed in multiple interactive tables. Yu can drill dwn in a variety f categries, including trade date, rder side, exchange, trade price and underlying, t see hw each trade perfrmed when cmpared t the benchmark. The perfrmance f a trade is calculated by marking the trade price t each benchmark. A psitive number indicates that the trade wrked in yur favr; a negative number indicates that the trade did nt wrk in yur favr. Yu can als add r remve clumns frm tables using the Cnfigure Clumns feature. Cmbinatins are nt supprted in the Transactin Cst Analysis. See Understanding the Transactin Cst Analysis fr a cmplete descriptin f each clumn heading and perfrmance benchmark used in the analysis results. Wh can access the Transactin Cst Analysis page? Yu can access this page if yu have trading access and yu have been granted Reprting access rights. T run a Transactin Cst Analysis 1. Click Reprts > Transactin Cst Analysis. Accunt Management Users' Guide 159

82 Transactin Cst Analysis 2. Select a start date and an end date frm the Frm Date and T Date drp-dwn lists, then click Submit t generate yur analysis. The page displays the results f yur analysis in the Instrument Type and Marketability sectin in the Summary Analysis. All perfrmance numbers are in basis pints, and vlume is in shares r cntracts, as applicable. Negative numbers appear in parentheses. Srt the data by any clumn by clicking the clumn heading. Here is an example f transactin cst analysis Summary Analysis results. 3. Click a categry (expanding items are indicated by a plus sign) t drill dwn t view mre detailed data by instrument type and marketability. Detailed results are displayed in additinal tables: By Trade Date By Trade Side By Exchange By Trade Size By Trade Price By Underlying Accunt Management Users' Guide 160

83 Transactin Cst Analysis By Order Live Time in Secnds By Order Type By Average Delta In additin, an Outlier Analysis is added t the results in the bttm half f the screen. The Outlier Analysis shws an analysis f the Tp and Bttm rders fr each f the perfrmance benchmarks. Yu can jump quickly t the Outlier Analysis frm the link at the tp f the screen. 4. Filter the results further within each f the detailed breakdwns by clicking the apprpriate categry. 5. Remve individual filters by clicking the X icn next t a filter link in the Current Active Filters display lcated at the tp f the screen. Yu can remve any filter in any rder at any time. The reprt data refreshes t reflect the change in the Current Active Filters. Fr example, suppse yur Current Active Filters display lks like this: Accunt Management Users' Guide 161

84 Transactin Cst Analysis Yu remve the Trade Size: 500 à 1000 filter by clicking the X icn t the left f the filter link. The Current Active Filters changes t lk like this (and the reprt data refreshes t indicate the new Current Active Filters): T return t the riginal Summary Analysis table and remve all filters, click the X icn next t Remve All in the Current Active Filters display. T chse a different date range, click Change Date Range in the upper right crner f the page. 6. View detailed data fr the rders in the current view by clicking the View Order Details link at the tp f the screen. Click the Back link at the upper right crner f the screen t return t the riginal reprt view. Order Details shws data nly fr the rders that are visible in the current view using the current active filters. Fr example, if yu are viewing all marketable stck rders and there are 300 rders, the Order Details will include details fr thse 300 rders. If yur current active filters are shwing nly ten rders, then the Order Details will include details fr thse ten rders. Accunt Management Users' Guide 162

85 Transactin Cst Analysis 7. Yu can cnfigure clumns fr the Summary Analysis table, fr all f the detailed tables, fr the Outlier Analysis tables and fr the Order Details table. When yu cnfigure clumns fr the detail tables, yur changes apply t all detail tables. Click the Cnfigure Clumns link lcated abve and t the right f each cnfigurable table. All current clumns are listed in the Clumns Included bx n the right. Clumns that yu can add are listed in the Clumns available bx n the left. T add a clumn, click the clumn name n the left t select it, and then click the green right-facing arrw t Accunt Management Users' Guide 163