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Portfolio Investments: Managing Investment Transactions

Portfolio Investments: Managing Investment Transactions

This guide explains how to create and manage Investment Transactions in Portfolio Investments. Investment transactions record activity related to an existing holding, such as sales, valuations, conversions, distributions, and other investment events.

Transactions update the position of an investment across securities, lots, and participating entities. If your portfolio is connected to arkGL, transactions may also generate journal entries.

What You’ll Learn

In this guide, you’ll learn how to:

  • Navigate the Investment Transactions page
  • Create and manage investment transactions
  • Understand available transaction types
  • Complete the investment transaction modal
  • Send Investment Transactions to arkGL using Save & Send to GL or the bulk Send to GL action
  • View or edit existing transactions
  • Download or upload transaction templates
  • Export or delete transaction records
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Who Can Use This Feature

Ark Client Admin

  • Access to all funds within their client
  • Can create, edit, and manage investment transactions

Basic Admin

  • Access limited to funds on their Fund Team
  • Can create and manage investment transactions where applicable

Fund User Admin

  • Read-only access to investment transactions
  • May edit Portfolio Attribute values if the attribute is configured with “Read Only User Can Edit.”
Before You Begin

Before creating an investment transaction:

  • A holding (purchase) must already exist for the security.
  • The Asset and Security must already be created.
  • Required Portfolio Attributes should be configured if applicable.
  • Available transaction fields may vary depending on the security type associated with the investment.
What Are Investment Transactions?

Investment transactions record activity that affects an existing holding.

Examples include:

  • Sales
  • Valuations
  • Income
  • Expenses
  • Conversions
  • Write-offs

These transactions update the investment’s position and may affect realized or unrealized values across participating entities.

Investment Transactions Page

Navigate to Portfolio Investments → Investment Transactions to view and manage investment activity.

The Investment Transactions table displays recorded investment activity across assets and securities.

Columns may include:

  • Lot ID
  • Asset Name
  • Security Name
  • Security Type
  • Transaction Type

Users can:

  • Search transactions using the Search by keyword field
  • Sort or filter columns
  • Click View Details to review or edit a transaction
  • Click Add New to create a new transaction
Step-by-Step: Create an Investment Transaction

Follow these steps to create a new investment transaction.

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Click Add New → New Investment Transaction.
  3. Select the Transaction Type.
  4. Enter the required transaction details.
  5. Configure allocations as needed.
  6. Review the Transaction Summary.
  7. Click Save to update the Investment Transaction, or Save & Send to GL to update the Investment Transaction and review any resulting Journal Entry changes.
Transaction Types

When creating a transaction, users select a Transaction Type.

Available transaction categories may include:

Common Transactions

  • Sales
  • Valuation

Conversions

  • Acquisition
  • Conversion

Dispositions

  • Write Off
  • Full Realization

Fund Transactions

  • Fund Contribution
  • Capital Gain Distribution
  • Stock Distribution

Other Investment Activity

  • Stock Split
  • Return of Capital
  • Income
  • Expense
  • Escrow

The available fields in the transaction modal may vary depending on the transaction type and security type selected.

Complete the Investment Transaction Modal

The investment transaction modal contains several sections used to capture transaction information.

Details

The Details section captures the core transaction information.

Typical fields include:

  • Asset
  • Security
  • Transaction Date

Additional fields may appear depending on the transaction type and security type.

Entity Allocations

The Entity Allocations section distributes the transaction across the investment structure.

Allocations may occur across:

  • Securities
  • Lots
  • Purchasing entities
  • Flow-through entities

Values entered in this section must reconcile before the transaction can be saved.

Summary

The Summary panel automatically updates as allocation values are entered.

It displays the impact of the transaction on the investment position, including realized and unrealized values.

Step-by-Step: View or Edit Transaction Details

Users can open existing transactions to review or update information.

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Locate the transaction in the table.
  3. Click View Details.
  4. Review or update transaction information as needed.

     

  5. Click Save to create the Investment Transaction, or Save & Send to GL to create the Investment Transaction and review the proposed Journal Entry(s) before creating them in arkGL.
    Note: Save & Send to GL is available when creating a new Investment Transaction or when saving changes to an existing transaction. To send an existing transaction to arkGL without making changes, select the transaction from the Investment Transactions page and use Send to GL from the Actions menu.

     

Note: Editing may be restricted for two different reasons.

  • Published Schedule of Investments period — the transaction is fully read-only and no fields can be edited. See Transactions in a Published SOI Period below.

  • Later-dated activity on the lot — to keep reported values accurate, ark rejects changes made behind activity that already happened later on the same lot. Adding, editing, or deleting a Sale, Conversion, Income, Expense, Fund Contribution, Capital Gain Distribution, Stock Distribution, or Return of Capital in that position is rejected with an error explaining why. A Purchase can still be opened and its Portfolio Attribute values edited, but changes to Transaction Date, cost, security, currency, or quantity are rejected. Transactions with no later activity on the lot are unaffected. To correct an out-of-order transaction, remove or adjust the later-dated activity first. Valuations are not restricted and can still be backdated, though a backdated valuation does not recalculate values already generated from later transactions.

Transactions in a Published SOI Period

When a Schedule of Investments is published for a fund through a given date, Investment Transactions dated on or before that date are locked. This preserves the reported position for periods that have already been published.

Locked transactions behave as follows:

  • The transaction opens in view-only mode. A lock icon appears on the transaction row, and hovering over it explains that the transaction falls in a published period.
  • Editing is not available. This includes amounts, shares, dates, entity allocations and portfolio attribute values.
  • Delete is not available, individually or through Delete Selected. If a selection includes locked transactions, the delete is blocked and the locked rows are identified.
  • New transactions cannot be backdated into a published period. Saving a transaction dated on or before the published date is rejected.
  • Transactions dated after the published date are unaffected and remain fully editable.

Fund User Admins can see that a fund has been published through a given date, but cannot publish or unpublish a Schedule of Investments.

To make a change to a transaction inside a published period, the Schedule of Investments must first be published through an earlier date, or unpublished. See Viewing the Schedule of Investments for how publishing works and who can perform it.

Note: Published SOI locking is separate from the read-only behavior applied to transactions that have downstream activity on their lot. A transaction can be locked for either reason.

Step-by-Step: Download or Upload a Transaction Template

Users can create investment transactions in bulk using a template.

To download the template:

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Click Add New.
  3. Select Download Template.

To upload a completed template:

  1. Click Add New.
  2. Select Upload From Template.
  3. Upload the completed template file.

Uploaded transactions will be validated before being created.

Step-by-Step: Export Investment Transactions

Users can export all transactions or selected transactions from the Investment Transactions table.

To export all transactions:

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Click Export All.

The system generates a downloadable file containing all transactions currently displayed in the table.

To export selected transactions:

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Select one or more transactions using the checkboxes in the left column.
  3. Click Export Selected.

The system generates a downloadable file containing only the selected transactions.

Step-by-Step: Delete Investment Transactions

Users with appropriate permissions may delete transactions from the Investment Transactions table.

Transactions in a published SOI period cannot be deleted. If your selection includes locked transactions, the delete is blocked and the locked rows are identified.

To delete selected transactions:

  1. Navigate to Portfolio Investments → Investment Transactions.
  2. Select one or more transactions using the checkboxes in the left column.
  3. Click the dropdown next to Export All.
  4. Select Delete Selected.

The selected transactions will be removed from the table.

Best Practices
  • Confirm the correct transaction type before entering transaction details.
  • Ensure entity allocations reconcile before saving the transaction.
  • Use Save & Send to GL when Journal Entries should be created or updated as part of the transaction workflow.
  • Confirm whether the fund has a published Schedule of Investments before editing or deleting historical transactions.
  • Record transactions in date order where possible. Changes made behind later-dated activity on the same lot are rejected.
Next Steps

After recording investment transactions, users typically proceed to: