--- title: "Portfolio Investments: Uploading Assets and Securities" description: Upload and manage portfolio investment assets and securities in ark through bulk CSV imports. This guide explains asset and security setup requirements, supported types, validation rules, portfolio attribute configuration, upload processing, error handling, monitoring upload status, rollback functionality, and best practices for establishing the investment structures used throughout Portfolio Investments. --- [Skip to content](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#main-content) English - United States Show submenu for translations [Submit a Ticket](https://connect.arkpes.com/knowledge/kb-tickets/new?hsLang=en-us) [My Tickets](https://connect.arkpes.com/tickets?hsLang=en-us) [![ark](https://connect.arkpes.com/hs-fs/hubfs/ARK__Logotype_fullcolor.png?width=200&height=68&name=ARK__Logotype_fullcolor.png)](https://connect.arkpes.com/knowledge?hsLang=en-us) Open main navigation Close main navigation - English - United States Show submenu for translations - [Submit a Ticket](https://connect.arkpes.com/knowledge/kb-tickets/new) - [My Tickets](https://connect.arkpes.com/tickets) - [Email Ark Support](mailto:support@arkpes.com) [Email Ark Support](mailto:support@arkpes.com) Search the knowledge base - There are no suggestions because the search field is empty. 1. [Ark Knowledge Center](https://connect.arkpes.com/knowledge?hsLang=en-us) 2. [NEW Portfolio Investments](https://connect.arkpes.com/knowledge/new-portfolio-investments?hsLang=en-us) 3. [Portfolio Investment Uploading Guides](https://connect.arkpes.com/knowledge/new-portfolio-investments?hsLang=en-us#portfolio-investment-uploading-guides) # Portfolio Investments: Uploading Assets and Securities ###### **Portfolio Investments: Uploading Assets and Securities** ###### **Table of Contents** 1. [Overview](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#overview) 2. [Who Can Use This Feature](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#who-can-use-this-feature) 3. [Before You Begin](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#before-you-begin) 4. [Uploading Assets](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#uploading-assets) 5. [Supported Asset Types](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#supported-asset-types) 6. [Asset Upload Validation Rules](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#asset-upload-validation-rules) 7. [Uploading Securities](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#uploading-securities) 8. [Supported Security Types](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#supported-security-types) 9. [Security Type Groups](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#security-type-groups) 10. [Security Upload Validation Rules](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#security-upload-validation-rules) 11. [CSV Format Requirements](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#csv-format-requirements) 12. [Portfolio Attributes in Uploads](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#portfolio-attributes-in-uploads) 13. [Upload Processing and Validation](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#upload-processing-and-validation) 14. [Monitoring Upload Progress](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#monitoring-upload-progress) 15. [Handling Upload Errors](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#handling-upload-errors) 16. [Rollback Functionality](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#rollback-functionality) 17. [Best Practices](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#best-practices) 18. [Next Steps](https://connect.arkpes.com/knowledge/uploading-assets-and-securities#next-steps) --- ###### **Overview** Asset and Security uploads allow users to bulk create Portfolio Investment structures within ark using CSV templates. Assets must exist before Securities can be uploaded. Uploaded Securities may later be used for: - Purchase Transactions - Non-Purchase Transactions - Valuations - Schedule of Investments reporting - arkGL integrations Uploads are processed asynchronously and validated before records are created. If any row fails validation, the entire upload fails. --- ###### **Who Can Use This Feature** This feature is available to: **Ark Client Admin users** Ark Client Admin users can upload and manage Assets and Securities across their client. **Basic Admin users with appropriate fund access** Basic Admin users can upload Assets and Securities where applicable. --- ###### **Before You Begin** Before uploading Assets or Securities: - Users should download the latest template from the applicable upload page. - CSV files must follow ark formatting requirements. - Assets must exist before Securities can be uploaded. - Portfolio Attributes should already be configured if applicable. --- ###### **Uploading Assets** **Steps** 1. Navigate to **Portfolio Investments** → **Assets**. 2. Click **Upload**. 3. Download the Asset template if needed. 4. Complete the CSV file. 5. Select the completed file. 6. Click **Upload**. --- ###### **Supported Asset Types** Users can upload the following Asset types: - Corporation - Partnership - LLC - Other Asset uploads may include: - Entity details - Address information - Asset-level Portfolio Attributes - Asset structure information --- ###### **Asset Upload Validation Rules** The system validates: - Required Asset fields - Duplicate Asset names - Portfolio Attribute requirements - CSV formatting - Column structure If any validation fails, the entire upload fails. --- ###### **Uploading Securities** **Steps** 1. Navigate to **Portfolio Investments** → **Securities**. 2. Click **Upload**. 3. Download the Security template if needed. 4. Complete the CSV file. 5. Select the completed file. 6. Click **Upload**. --- ###### **Supported Security Types** Users can upload the following Security types: - Equity - Preferred - Equity - Common - Equity - Interest - Equity - Commitment Based - Convertible Security - Warrants & Options - Debt - Digital Tokenized - REIT - Other --- ###### **Security Type Groups** Each Security Type belongs to a Security Type Group that determines which Purchase Transaction types may later be used for Purchase uploads. | **Security Type Group** | **Associated Security Types** | | --- | --- | | Equity - Unit Based | Equity - Preferred, Equity - Common, Warrants & Options, Digital Tokenized, REIT, Other | | Equity - Interest Based | Equity - Interest | | Equity - Commitment Based | Equity - Commitment Based | | Debt | Debt, Convertible Security | These Security Type Groups are later used during Purchase Transaction uploads to validate allowed Purchase transaction types. --- ###### **Security Upload Validation Rules** The system validates: - Asset existence - Required Security fields - Security Type formatting - Duplicate Security structures - Portfolio Attribute requirements - CSV formatting - Column structure Securities must reference existing Assets within the client. If any validation fails, the entire upload fails. --- ###### **CSV Format Requirements** **File Requirements** - File type must be CSV (Comma Separated Values, .csv) format. - Header names must exactly match the template. **Column Headers** Headers must use exact Title Case formatting. **Correct Example** Asset Name Security Type Transaction Type **Incorrect Example** asset\_name SECURITYTYPE security type --- ###### **Portfolio Attributes in Uploads** Upload templates may include Portfolio Attributes. **Required Portfolio Attributes** Required attributes must contain values before upload can succeed. Values can be found per client in Portfolio Attributes or from a failed upload’s error template. **Optional Portfolio Attributes** Optional attributes may be populated if applicable. Values can be found per client in Portfolio Attributes or from a failed upload’s error template. Portfolio Attributes are configured separately within Portfolio Investments. --- ###### **Upload Processing and Validation** All uploads follow the same validation workflow. **Phase 1: Pre-Flight Validation** The system validates: - CSV structure - Header formatting - Required columns - Date formatting - Attribute requirements - Unknown columns **Phase 2: Business Logic Validation** The system validates: - Entity existence - Duplicate records - Security relationships - Client isolation rules If any validation fails: - The entire upload fails. - No records are created. --- ###### **Monitoring Upload Progress** Users can monitor uploads from the Upload History page. **Upload Statuses** | **Status** | **Meaning** | | --- | --- | | Uploading | Upload is processing | | Upload Successful | Upload completed successfully | | Upload Failed | Validation or processing failed | | Rolling Back | Rollback is in progress | | Rollback Successful | Uploaded records were removed | | Rollback Failed | Rollback encountered issues | The Upload History page refreshes automatically while uploads are processing. --- ###### **Handling Upload Errors** If validation fails: - Upload status changes to Upload Failed on the Upload History page - An error report becomes available on the Upload History page **Error Reports Include** - Row Number - Column Name - Input Value - Failure Reason **Common Error Types** - Invalid date formatting - Missing required values - Duplicate Asset names - Asset not found - Invalid Security Type - Portfolio Attribute validation failures --- ###### **Rollback Functionality** Successful uploads may be rolled back from the Upload History page. Rollback removes uploaded records created by the upload. **Important Notes** - Basic Admin users can only rollback files that they uploaded. - Rollback is all-or-nothing. - Rollback may fail if dependencies were created afterward. Example: An Asset upload rollback may fail if Securities were later added to that Asset. **Steps** 1. Navigate to Upload History. 2. Locate the successful upload. 3. Click Rollback. 4. Confirm the rollback. 5. Monitor rollback progress. --- ###### **Best Practices** - Always use the latest upload template. - Upload Assets before Securities. - Verify Security Types before uploading. - Review Portfolio Attribute requirements before upload. - Validate data before uploading. - Review upload validation errors carefully before re-uploading files. --- ###### **Next Steps** After Assets and Securities are uploaded successfully, users can: - Upload Purchase Transactions - Upload Non-Purchase Transactions - Record investment activity - Generate Schedule of Investments reporting - Send transactions to arkGL Further workflows are covered in the Portfolio Investments guides. - [NEW Portfolio Investments](https://connect.arkpes.com/knowledge/new-portfolio-investments?hsLang=en-us#main-content) - [Portfolio Investment Uploading Guides](https://connect.arkpes.com/knowledge/new-portfolio-investments?hsLang=en-us#portfolio-investment-uploading-guides) - [Client Management](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#main-content) - [Client Portal Setup](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#client-portal-setup) - [Branding & Communication Settings](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#branding-communication-settings) - [Transaction & Metric Mapping](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#transaction-metric-mapping) - [Report Configuration](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#report-configuration) - [Feature Configuration](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#feature-configuration) - [Client Onboarding & Go-Live](https://connect.arkpes.com/knowledge/client-management?hsLang=en-us#client-onboarding-go-live) - [Data & Transaction Management](https://connect.arkpes.com/knowledge/data-transaction-management?hsLang=en-us#main-content) - [Transactions & Metrics](https://connect.arkpes.com/knowledge/data-transaction-management?hsLang=en-us#transactions-metrics) - [Fund Allocations](https://connect.arkpes.com/knowledge/data-transaction-management?hsLang=en-us#fund-allocations) - [Document Management](https://connect.arkpes.com/knowledge/document-management?hsLang=en-us) - [Financial Management](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#main-content) - [General Ledger & Chart of Accounts](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#general-ledger-chart-of-accounts) - [Journal Entries & Entity Tagging](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#journal-entries-entity-tagging) - [Bank Integrations](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#bank-integrations) - [Cash Receipts](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#cash-receipts) - [GL Reports & Reporting Tools](https://connect.arkpes.com/knowledge/financial-management?hsLang=en-us#gl-reports-reporting-tools) - [Fund & Investor Management](https://connect.arkpes.com/knowledge/fund-investor-management?hsLang=en-us) - [Investor Communications](https://connect.arkpes.com/knowledge/investor-communications?hsLang=en-us#main-content) - [Capital Calls & Distributions](https://connect.arkpes.com/knowledge/investor-communications?hsLang=en-us#capital-calls-distributions) - [General Mailings](https://connect.arkpes.com/knowledge/investor-communications?hsLang=en-us#general-mailings) - [Product Updates](https://connect.arkpes.com/knowledge/product-updates?hsLang=en-us#main-content) - [Release Notes](https://connect.arkpes.com/knowledge/product-updates?hsLang=en-us#release-notes) - [User & Access Management](https://connect.arkpes.com/knowledge/user-access-management?hsLang=en-us#main-content) - [Admin Users & Teams](https://connect.arkpes.com/knowledge/user-access-management?hsLang=en-us#admin-users-teams) - [Contacts & Impersonation](https://connect.arkpes.com/knowledge/user-access-management?hsLang=en-us#contacts-impersonation) - [Authentication & Login](https://connect.arkpes.com/knowledge/user-access-management?hsLang=en-us#authentication-login) - [Audit & Activity Reporting](https://connect.arkpes.com/knowledge/user-access-management?hsLang=en-us#audit-activity-reporting) - [LP Portal](https://connect.arkpes.com/knowledge/lp-portal?hsLang=en-us) [![ARK\_\_Logotype\_fullcolor-1](https://connect.arkpes.com/hs-fs/hubfs/ARK__Logotype_fullcolor-1.png?width=200&height=68&name=ARK__Logotype_fullcolor-1.png "ARK__Logotype_fullcolor-1")](http://arkpes.com) [mailto:support@arkpes.com](mailto:support@arkpes.com) Copyright © 2025, Ark PES