Portfolio Investments: Uploading Portfolio Investment Data

Portfolio Investments: Uploading Portfolio Investment Data

Table of Contents

1. Overview
2. Who Can Use This Feature
3. Before You Begin
4. Recommended Upload Order
5. Supported Upload Types
6. Download Upload Templates
7. Upload Processing and Validation
8. Monitoring Upload Progress
9. Handling Upload Errors
10. Downloading Original Files
11. Rollback Functionality
12. Related Upload Guides
13. Best Practices
14. Next Steps

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Overview

The CSV Upload feature allows users to bulk upload Portfolio Investment data into ark.

Users can upload:

• Assets
• Securities
• Purchase Transactions
• Non-Purchase Transactions

Uploads are processed asynchronously and validated before records are created.

If any row fails validation, the entire upload fails. Partial uploads are not supported.

Uploads that support General Ledger workflows may also create Journal Entries using Save & Send to GL functionality.

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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 all supported upload types across their client.

Basic Admin users with appropriate fund access

Basic Admin users can upload transactions only for funds assigned to their Fund Team.

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Before You Begin

Before uploading data:

• Assets must exist before Securities can be uploaded.
• Securities must exist before Transactions can be uploaded.
• CSV files must follow ark formatting requirements.
• Users should download the template from the applicable ark upload page before preparing upload files.

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Recommended Upload Order

Portfolio Investment uploads should generally be completed in the following order:

This ensures all required relationships already exist before dependent uploads are processed.

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Supported Upload Types

Assets

Users can upload:

• Corporations
• Partnerships
• LLCs
• Other

Securities

Users can upload:

• Equity - Preferred
• Equity - Common
• Equity - Interest
• Equity - Commitment Based
• Convertible Security
• Warrants & Options
• Debt
• Digital Tokenized
• REIT
• Other

Purchase Transactions

Purchase uploads create holdings/lots for securities.

Supported Purchase transaction types include:

• Purchase - Equity
• Purchase - Debt
• Purchase - Commitment
• Purchase - Secondary Commitment
• Purchase - Share

Non-Purchase Transactions

Users can upload the following Non-Purchase transaction types:

• Acquisition
• Capital Gains Distribution
• Contribution
• Conversion
• Distribution
• Escrow
• Expense
• Income
• Realization
• Return of Capital
• Sale - Equity
• Sale - Debt
• Sale - Commitment
• Sale - Share
• Sale - Commitment Transfer
• Stock Distribution
• Stock Split
• Valuation
• Write Off

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Download Upload Templates

Always begin with the latest upload template.

Templates include:

• Required columns
• Correct header formatting
• Required Portfolio Attributes
• Optional Portfolio Attributes

Steps

1. Navigate to the appropriate Portfolio Investments page.
2. Click Upload.
3. Select the upload type.
4. Click Download Template.
5. Save the CSV template locally.

Templates are available for:

• Assets
• Securities
• Purchase Transactions
• Non-Purchase Transactions

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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
• Fund access permissions
• Security relationships
• Allocation reconciliation
• Intermediary 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
• Asset not found
• Security not found
• Fund access restrictions
• Allocation reconciliation failures
• Lot Group mismatches

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Downloading Original Files

Users can download the original uploaded CSV file at any time from the Upload History page.

Original files may be downloaded for:

• Audit purposes
• Validation review
• Error correction
• Rollback review

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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.

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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Related Upload Guides

For detailed upload instructions, see:

• Uploading Assets and Securities
• Uploading Purchase Transactions
• Uploading Non-Purchase Transactions

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Best Practices

• Always use the latest upload template.
• Validate data before uploading.
• Upload Assets before Securities.
• Upload Securities before Transactions.
• Confirm entity allocations reconcile correctly.
• Review upload validation errors carefully before re-uploading files.

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Next Steps

After uploads are completed successfully, users can:

• Record additional investment activity
• Generate Schedule of Investments reporting
• Send transactions to arkGL
• Manage investment reporting workflows

Further workflows are covered in the Portfolio Investments guides.