Portfolio Investments: Uploading Assets and Securities

Portfolio Investments: Uploading Assets and Securities

Table of Contents

1. Overview
2. Who Can Use This Feature
3. Before You Begin
4. Uploading Assets
5. Supported Asset Types
6. Asset Upload Validation Rules
7. Uploading Securities
8. Supported Security Types
9. Security Type Groups
10. Security Upload Validation Rules
11. CSV Format Requirements
12. Portfolio Attributes in Uploads
13. Upload Processing and Validation
14. Monitoring Upload Progress
15. Handling Upload Errors
16. Rollback Functionality
17. Best Practices
18. Next Steps

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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.

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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.

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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.

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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.

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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

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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.

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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.

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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

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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.

These Security Type Groups are later used during Purchase Transaction uploads to validate allowed Purchase transaction types.

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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.

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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

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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.

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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.

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Monitoring Upload Progress

Users can monitor uploads from the Upload History page.

Upload Statuses

The Upload History page refreshes automatically while uploads are processing.

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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

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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.

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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.

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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.