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Portfolio Investments: Securities

Portfolio Investments: Securities

This guide walks you through creating and managing Securities in Portfolio Investments, which define the financial instruments associated with investments in portfolio Assets.

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What You’ll Learn

In this guide, you’ll learn how to:

  • Navigate the Securities page
  • Create and manage securities associated with Assets
  • Select the correct security type
  • Complete security details
  • Apply Portfolio Attributes to securities
  • Export securities data
Who Can Use This Feature

Ark Client Admin

  • Access to all funds within their client
  • Can create and manage securities

Basic Admin

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

Fund User Admin

  • Read-only access
  • Can view securities but cannot create or edit them
  • Can edit Portfolio Attribute values on Securities if the attribute is configured with “Read Only User Can Edit.”
Before You Begin

Before creating a security:

  • The associated Asset must already exist.
  • Any required Portfolio Attributes should be configured in the Portfolio Attributes page.
  • You should understand the type of financial instrument being recorded (e.g., common equity, preferred equity, debt).
What Are Securities?

Securities represent the financial instruments through which funds invest in an Asset.

A single Asset may have multiple securities, representing different ownership structures or financing rounds.

Within Portfolio Investments, securities fit into the investment structure as follows:

Asset
 → Security
 → Holding / Purchase
 → Investment Activity
  • Transactions
  • Valuations
  • (Optional: Send to GL)
 → Schedule of Investments (SOI)

Securities define the structure of an investment and determine how holdings, transactions, and valuations are recorded within Portfolio Investments.

Step-by-Step: Navigate the Securities Page

Follow these steps to access and navigate the Securities page.

  1. Navigate to Portfolio Investments → Securities.
  2. Use the Search Securities field to locate a specific security.
  3. Review the Securities table to view key information such as Security ID, Security Name, Security Type, and Asset.
  4. Select View Details to open a security record.
  5. Click Add Security to begin creating a new security.

Securities Table

The table displays securities configured within the system.

Columns may include:

  • Security ID
  • Security Name
  • Security Type
  • Type Group
  • Asset

Users can sort, scan, or filter these columns to locate securities.

Step-by-Step: Create a Security

Follow these steps to create a new security associated with an Asset.

  1. Navigate to Portfolio Investments → Securities.
  2. Click Add Security.
  3. Select the Security Type.
  4. Complete the Security Details form.
  5. Click Create Security.

Once created, the security can be used to create purchases (holdings) and record investment activity.

Security Types

The first step when creating a security is selecting the Security Type.

The security type defines the structure of the investment instrument and may determine which fields appear when recording Holdings or Investment Transactions.

Selecting the correct security type ensures the investment activity is captured accurately.

Examples of available security types include the following.

Equity – Preferred
Represents a preferred equity class associated with an Asset.

Equity – Common
Represents common equity ownership in an Asset.

Equity – Interest
Represents ownership in a pass-through entity such as an LLC or partnership.

Equity – Commitment Based
Represents ownership in commitment-based investment structures.

Convertible Security
An instrument that may convert into another security type under defined conditions.

Warrants & Options
Rights to acquire equity at a predetermined price.

Digital Tokenized
A blockchain-based representation of a security.

REIT
Represents units of a private Real Estate Investment Trust.

Other
A general category for securities that do not fit standard classifications.

Debt
Represents a contractual obligation to repay borrowed capital, typically with interest.

Important

Each security type may trigger different fields or requirements when recording Investment Transactions, depending on how the investment is structured.

Security Details

After selecting a security type, users must complete the Security Details form.

Fields may include:

Asset

The portfolio entity associated with the security.

Each security must be linked to an Asset.

Security Name

The name used to identify the investment instrument.

Portfolio Attributes on Securities

Portfolio Attributes may appear within the security creation form.

Two sections may be displayed:

Required Portfolio Attributes

These attributes must be completed before the security can be created.

Optional Portfolio Attributes

Optional attributes may be added if relevant to the investment.

Portfolio Attributes are configured on the Portfolio Attributes page and may vary depending on the organization’s setup.

After Creating a Security

After successfully creating a security, users will see a confirmation screen.

From here, users can choose to:

Create Purchase

Begin creating a purchase (holding) for the newly created security.

This allows users to immediately continue the investment workflow.

Return to Securities

Return to the Securities page to view or manage securities.

Step-by-Step: Export Securities

Export All Securities

  1. Navigate to the Securities page.
  2. Click Actions.
  3. Select Export All.

This downloads a file containing all securities currently listed on the page.

Export Selected Securities

Users can also export specific securities by selecting them in the table.

  1. Navigate to the Securities page.
  2. Select one or more securities using the checkboxes in the left column.
  3. Click Actions.
  4. Select Export Selected.

This downloads a file containing only the selected securities.

Step-by-Step: Delete Securities

Users can delete one or more securities directly from the Securities table.

Follow these steps to delete securities:

  1. Navigate to Portfolio Investments → Securities.
  2. Select one or more securities using the checkboxes in the left column.
  3. Click Actions.
  4. Select Delete Selected.
  5. Review the system prompt and confirm the deletion.

System Validation

The system will check whether the selected securities have related investment records.

Users will receive a prompt indicating which securities can be deleted and which cannot be deleted.

A security can only be deleted if it does not have associated:

  • Holdings (Purchases)
  • Investment Transactions

Securities that are already used in investment activity must remain in the system to preserve historical records.

Example Behavior

If multiple securities are selected:

  • Securities without holdings or investment transactions will be eligible for deletion.
  • Securities with holdings or investment transactions will not be deleted.

The system will notify the user accordingly.

Important

Deleting a security removes the record from the system. This action should only be taken if the security was created in error or is no longer needed.

Best Practices
  • Use clear naming conventions for securities (for example, Series A Preferred or Common Units).
  • Create separate securities when an asset has multiple financing rounds or instrument types.
  • Confirm the correct security type before creating the record.
  • Ensure required Portfolio Attributes are properly configured.
Next Steps

After creating a security, users typically proceed to:

  • Create a Purchase (Holding) for the security
  • Record Investment Transactions
  • Update Valuations
  • Review investment data in the Schedule of Investments (SOI)