View Information About All Clients

Advisors, Brokers and Multiple Hedge Fund Investment Managers use the Dashboard to view information about all of their clients from a single point of access:

In addition, Advisors can view pending items for all accounts on the Pending Items tab.

To view and search for client accounts

When you first open the Dashboard, it displays a lists of all client or fund accounts. The number of accounts on each tab appears next to the tab name.

  1. Click Manage Clients > Dashboard. Multiple Hedge Fund investment Managers click Manage Funds > Dashboard.

All client or fund accounts are listed by Account Title, and each account shows the account type, account number, username, account alias, account status (Open, Pending, Closed and Rejected), and approval status.

For example, here is a dashboard for a fully disclosed broker.

  1. On any page in the Dashboard, you can search for accounts by any column heading. Just type the first letters of the search criteria into the Smart Search field and then click Go. To change your search criteria, click the X in the Smart Search field.

For example, if you are a Fully Disclosed Broker and you want to search for all Individual account types, type ind in the Smart Search field, and then click Go. The list of accounts will update to show only Individual client accounts:

  1. Sort lists on any page by clicking a column heading.
  2. If you have multiple pages of accounts, you can quickly jump to any Dashboard page using the pagination feature located in the upper right. This feature displays the total number of pages of client accounts and a field where you can enter the page number you want to display.

  1. Fully Disclosed Brokers can view application and options trading approvals in the Approvals column. Approvals are marked with a small green check mark and show the username of approver and the date of the approval. Rejected applications and option trading requests are marked with a small red X along with the username of the rejecter and the date of rejection.

To filter all client accounts by account status

By default, the Dashboard displays all of your client accounts. You can filter the list by account status using the Status drop-down.

  1. Click Manage Clients > Dashboard. Multiple Hedge Fund investment Managers click Manage Funds > Dashboard.
  2. Select an option from the Status drop-down (All, Open Accounts, Pending Applications, Closed Accounts, Rejected Applications, Deleted Applications or Open Not Funded). The number of accounts with each status appears in the drop-down. All is the default selection.

To view recent activity for the past five days for all client accounts

You can view all recent funding and account application activity that occurred in the past five days for all of your client or fund accounts. If no activity occurred during the last five days, a message to that effect appears instead of a list of activity. Like the other tabs on the Dashboard, the Recent Activity tab shows the number of items currently displayed on that page.

  1. Click Manage Clients > Dashboard. Multiple Hedge Fund investment Managers click Manage Funds > Dashboard.
  2. Click the Recent Activity tab.

The Recent Activity page shows the date, account title, account number, username and for each activity. Activities can include funding, account opening or closing-related activities, and other types of client account activities.

  1. Just as on other Dashboard pages, on the Recent Activity page you can use the Smart Search field to quickly search for client accounts by any column heading, and you can sort the list by any column heading.

To download a list of outstanding registration tasks for all pending client accounts to Microsoft Excel

You can download an Excel spreadsheet (.xls file) that includes all registration tasks for your pending client or fund accounts (i.e., all tasks related to the opening of all of your pending client or fund accounts). The Excel file shows the Account ID, tasks and current status of each tasks for all pending client or fund accounts.

  1. From any page on the Dashboard, click the Registration Tasks button located at the top right of the screen.

  1. You will be prompted to open or save a Microsoft Excel worksheet. Save the file to your computer.

To download information about all client accounts to Microsoft Excel

You can download an Excel spreadsheet (.xls file) that includes all of the information about all of your client or fund accounts.

  1. From any page on the Dashboard, click the Client Accounts button located at the top right of the screen.

  1. You will be prompted to open or save a Microsoft Excel worksheet. Save the file to your computer.

For more information