CHARLES SCHWAB FILE NAMES

Transcription

1 CHARLES SCHWAB FILE NAMES While there are several types of files you may see in your Master Account folders, there are only two types of files you can use for the Schwab interface: the PortfolioCenter enhanced files (PC files), PortfolioCenter cost basis files (CRS), and the generic Centerpiece files (CS files). All Schwab Advisor Services clients using PortfolioCenter get all three sets of files daily. You should already be using the PortfolioCenter enhanced files, but review the comparison chart below for more information about each file type. COMPARING PORTFOLIOCENTER ENHANCED FILES AND GENERIC CENTERPIECE FILES ENHANCED PORTFOLIOCENTER FILES (PC FILES) All users get a daily build file. This is beneficial for reconciliation (you do not have to rely on the build/update feature in SchwabLink) and so you can rebuild a position on any date. Reconcile up to 5 decimal places. Both transactions and positions/reconciliation files have a precision of 5 decimal places for more accurate reconciliation and fewer variances by less than.0001 of a share. Includes enhanced information, such as dividend ex-dates so you can now more easily produce accrued income for equity and mutual fund securities. Includes actual settlement dates for trades. Fewer posting challenges due to temporary security ID numbers, especially for partial calls of fixed income securities. Additional notes on journal transactions, indicating that the transaction is for a Cash in Lieu for Fractional Shares, due to a corporate action. GENERIC CENTERPIECE FILES (CS FILES) Not all users get a daily build file, so you have to use the RPS file generated by the run/build update feature in SchwabLink. Transactions are sent with 4 decimal place precision, while reconciliation is sent with 3 decimal place precision. Occasionally, you have a position off by.0001 a share. Missing information, such as dividend ex-dates. To produce accrued income for equity and mutual fund securities, you have to manually enter the ex-dates in the security details. Settlement dates are estimated by PortfolioCenter, using the security type defaults. No filter or automatic mapping for temporary security ID numbers. No message to help you figure out if the journal is for a corporate action Schwab Performance Technologies ( SPT ). All rights reserved. ( ) Schwab Advisor Services includes the custody, trading and support services of Charles Schwab & Co., Inc ( CS&Co ), a registered broker-dealer and member SIPC. Independent investment advisors are not owned by, affiliated with or supervised by Charles Schwab & Co., Inc. Schwab Advisor Center is a website of CS&Co for the exclusive use of its independent investment advisor clients. PortfolioCenter is a product of Schwab Performance Technologies ( SPT ). SPT and CS&Co are separate companies affiliated as subsidiaries of the Charles Schwab Corporation, but their products and services are independent from each other. SPT s solutions integrate data about accounts custodied at CS&Co. Screen shots are provided for illustrative purposes only and may be abridged. For educational purposes only. DocumentID: SPT Last Updated: March 21, 2012

2 PORTFOLIOCENTER ENHANCED FILE NAMES In all the examples below, PC indicates the file is an enhanced file and mmddyy is the date. For example, if you see a file named PC060105, that file is a PortfolioCenter enhanced file for 6/1/2005. PCmmddyy.SLB N/A Position or build file. The build file contains portfolio and security details, such as names, account numbers, security prices, positions, etc. PCmmddyy.SLT PCmmddyy.BKT Transaction file. The transaction file contains the previous day s transactions. PORTFOLIOCENTER COST BASIS FILE NAMES In all the examples below, CRS (Client Reporting Services) indicates the file is a cost basis file and yyyymmdd is the date. For example, if you see a file named CRS , that file is a PortfolioCenter cost basis file for 6/15/2012. CRSyyyymmdd.ULT N/A Cost Basis Reconciliation file (Taxable Accounts). The cost basis reconciliation file contains trade lots and cost basis information for held positions in taxable accounts from the previous day. CRSyyyymmdd.ULN N/A Cost Basis Reconciliation file (Non- Taxable Accounts). The cost basis reconciliation file contains trade lots and cost basis information for held positions in non-taxable accounts from the previous day. CRSyyyymmdd.UPT N/A Cost Basis Reconciliation file (Taxable Accounts). The cost basis reconciliation file contains positions and cost basis information for held positions in taxable accounts from the previous day. CRSyyyymmdd.UPN N/A Cost Basis Reconciliation file (Non- Taxable Accounts). The cost basis reconciliation file contains positions and cost basis information for held positions in non-taxable accounts from the previous day. CRSyyyymmdd.RLD N/A Daily Realized Gain Loss file. The daily realized gain loss file contains positions and cost basis information for sold positions in taxable accounts. CRSyyyymmdd.RLY N/A Year to Date Realized Gain Loss file. The year to date realized gain loss file is generated on each month end and contains positions and cost basis information for sold positions in taxable accounts. CRSyyyymmdd.ACC N/A Name and Address File. The name and address file contains contact information and additional Schwab Advisor Center account settings. Charles Schwab File Names Page 2 of 5

3 The cost basis files for taxable accounts are scheduled to be available at 8am EST and the cost basis files for non-taxable accounts are scheduled to be available at 11am EST. The cost basis files can be downloaded from Schwab Data Delivery, but are not available to download in SchwabLink and there are no plans to include this feature in the future. CENTERPIECE GENERIC FILE NAME In all the examples below, CS indicates the file is a generic Centerpiece file and mmddyy is the date. For example, if you see a file named CS060105, that file is a generic Centerpiece file for 6/1/2005. CSmmddyy.UPD CSmmddyy.BLD CSmmddyy.BKB Position or build files. These files contain portfolio and security details, such as names, account numbers, and account positions. Update file. The update file contains portfolio name and address update information as well as the mortgage-backed factors. CSmmddyy.PRI CSmmddyy.BAP Price File. The Price file contains prices for all securities your clients hold at the custodian. CSmmddyy.TRN CSmmddyy.BAK Transaction file. The Transaction file contains transactions for all securities your clients hold at the custodian. CSmmddyy.RPS N/A Reconciliation file. This file is generated by the Build/Update process in SchwabLink and is not downloaded with the rest of the files. It is the file PortfolioCenter uses to generate the Reconciliation Report. OTHER FILES IN THE FOLDER In addition to both file types listed above, you could also have other file types listed in the folder: FILE NAME CSmmddyy.CNF CRMyyyymmdd.TCF CSmmddyy.DEP DD.PCmmddyy.SLB.xx.Position DD.PCmmddyy.SLB.xx.Balance DD.CSmmddyy.BLD.xx.Position DD.CSmmddyy.BLD.xx.Balance CSmmddyy.TOA INFORMATION IN FILE Confirmation files these files contain the trade confirms that you can see in SchwabLink or Schwab Data Delivery Data Viewer. Shows only Deposit and withdrawal activity. Data Delivery Balance and Position files these files contain all the position and balance information that allows you to see historical data in Schwab Data Delivery Data Viewer. These files are either downloaded or created by the Viewer if the.bld or.slb files are in the directory the Data Viewer is pointed to at the time you are requesting a view of historical data. Transfer of Asset files these files show information about the transfer of assets to Schwab, either from Retail or from another custodian. Charles Schwab File Names Page 3 of 5

4 FILE NAME VSmmddyy.pri, VSmmddyy.trn & VSmmddyy.rps TSyyyymmdd.pri,.trn,.pri INFORMATION IN FILE Variable annuity files containing price, transaction and position information for variable annuity products. Trust files containing price, transaction and position information for trust products. Other files may appear in this folder from time to time, depending on the activities your firm engages in regularly. If you do not see the file type listed here, contact Technical Support for SchwabLink at LINK (5465) for more information. DETERMINING WHICH FILES YOU ARE USING If you have requested the enhanced files from Schwab Advisor Services, you must enable the Schwab Interface Setting to read the file. Follow the steps below to determine if you are reading the generic Schwab files (CS files) or the enhanced PortfolioCenter files (PC files). STEP 1: FIND THE FILES ON YOUR HARD DRIVE The purpose of this step is to make sure that you are downloading the PortfolioCenter enhanced files (PC files) in addition to the generic Schwab files. For each master, you should be getting one set of each file type. Follow these steps on the PortfolioCenter database server to get the correct data path. 1 Open Windows Explorer: Start Programs Accessories Windows Explorer. 2 Under the menu bar, click the Search button, located under the Tools menu, as shown in the example to the right. 3 The search companion box opens on the left side of the window. Click the All files and folders link. 4 Enter PC*.SLB in the File Name field, as shown in area 1 in the example to the right. Select My Computer in the Look In field, as shown in area 2 in the example to the right. Click the Search button. When you select My Computer, Windows Explorer searches all local hard drives as well as mapped drives. Charles Schwab File Names Page 4 of 5

5 5 The location of the files is found in the In Folder column, on the right side of the window, as shown on the right. You should see a path for each Master Account for which you download files. Make sure all master accounts are represented. If you are missing a Master Account, you must request files for that master from SchwabLink Fulfillments. STEP 2: REVIEW THE INTERFACE SETTING After you ensure that you have the enhanced files for all master accounts, check the Schwab Interface setting to see if PortfolioCenter is reading the enhanced files. 1 In PortfolioCenter, go to: Interfaces Schwab Settings As shown in the image to the right. 2 Click the Schwab Interface Settings tab. Look for the Use enhanced file format setting, third checkbox from the bottom. If the setting is checked, PortfolioCenter is only reading the PC files, TS (Schwab Trust), VS (variable annuity) and any CS files in the US Trust Master Account, if that information is entered in the field. If the box is not checked, PortfolioCenter is reading the CS files, TS files, and VS files. Charles Schwab File Names Page 5 of 5