PortfolioCenter. Exporting PortfolioCenter Data for Use with Tamarac Advisor

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PortfolioCenter Tamarac Advisor

Document ID: spt011058 Document Date: December 2, 2009 1997-2009 Schwab Performance Technologies Two Hannover Square, 13th Floor 434 Fayetteville Street Mall Raleigh, NC 27601 All rights reserved. PortfolioCenter is a registered trademark of Schwab Performance Technologies

Table of Contents CHAPTER 1: INTRODUCTION TO EXPORTING DATA FOR TAMARAC... 1 WHAT IS THE TRADING DATA EXPORT?... 1 WHY USE.XML INSTEAD OF.CSV FILES?... 1 HOW DO I USE THIS DOCUMENT?... 2 Deciding What Data to Export from PortfolioCenter... 2 Deciding the Export Method... 2 Deciding How to Upload to Tamarac... 2 CHAPTER 2: PREPARING DATA FOR EXPORT AND UPLOAD... 3 POSTING AND RECONCILING DATA... 3 CREATING SETS OF CLIENTS FOR THE EXPORT... 3 Creating and Maintaining Static Sets... 4 Steps to Create the Static Set... 4 Updating the Static Set... 5 Creating and Maintaining Smart Sets... 6 Creating the Custom Field... 6 Creating the View and Editing Client Details... 7 Creating the Smart Set... 8 Maintaining the Smart Set... 9 CHAPTER 3: EXPORTING AND UPLOADING DATA... 10 OPTIONS FOR EXPORTING AND UPLOADING DATA TO TAMARAC... 10 USING THE EXPORT AND THEN UPLOAD OPTION... 11 Exporting Data Using the PortfolioCenter Export Wizard... 11 Exporting Only Positions... 11 Exporting Positions and Transactions for Reconciler... 14 Uploading Directly to Tamarac Advisor... 16 EXPORTING AND UPLOADING USING TAMARAC TRANSPORTER... 17 APPENDIX... 18 OPTIMAL TAMARAC TRANSPORTER TM CONFIGURATION SETTINGS... 18 TROUBLESHOOTING... 19 Common Warning Messages When Uploading to Tamarac Advisor... 19 Additional Warning or Error Messages with Tamarac Transporter... 20 Troubleshooting Resources... 21 GETTING MORE HELP... 22 PortfolioCenter Technical Support Contact Information... 22 Tamarac Technical support Contact Information... 22 iii

Chapter 1: Introduction to Exporting Data for Tamarac Tamarac Advisor provides customized, tax-efficient rebalancing across an unlimited number of accounts. The Tamarac system can simultaneously rebalance many accounts at the same time, greatly reducing the time commitment for rebalancing. PortfolioCenter has tools you can use to take advantage of all that Tamarac has to offer you. This guide will show you the various options you have and help you make the right decisions for your firm. What is the Trading Data Export? The PortfolioCenter Trading Data Export is a pre-formatted export designed to extract currently held positions for accounts. With this export, you can extract transaction data for reconciliation. By using the PortfolioCenter Trading Data Export with Tamarac Advisor, you can make decisions about appropriate buys or sells to bring positions back into balance. The Trading Data Export creates two file options: XML File this is a file that can easily be read by many applications ZIP File this is the XML file zipped into a smaller file for use to upload to third parties, such as Tamarac This document concentrates on the creation of the.zip file of the.xml file, since that is the format most easily used by Tamarac. Why use.xml instead of.csv files? Previously, you might have been using two.csv files to accomplish the same thing the one XML file is designed to accomplish. The.XML file is the preferred method because: You can create the file automatically, using specialized tools The.XML format is designed for web-based applications The simplicity of creating the file. You only need to create a single file and upload it to Tamarac Advisor Fewer files to maintain and upload. Note We recognize that in certain circumstances or for your initial set up, you may have a need to export.csv files from PortfolioCenter for your Tamarac implementation. Separate upload instructions are required for uploading.csv files. Tamarac Advisor Page 1 of 22

Chapter 1: Introduction to Exporting Data for Tamarac How do I use this document? There are several options in the workflow to generate and upload the data from PortfolioCenter to Tamarac Advisor. You have some decision points to consider before diving into the steps. Consider the following: Deciding What Data to Export from PortfolioCenter You have two export options when using the PortfolioCenter Trading Data Export: Export only positions with this option, you can rebalance the current PortfolioCenter positions and are exporting only those positions using the Trading Data Export in the PortfolioCenter Export Wizard. Export transactions and positions with this option, you are exporting the current PortfolioCenter positions as well as the last day s transactions. The purpose of exporting transactions is to take advantage of the Tamarac Reconciler features. For this option, you can use either the PortfolioCenter Export Wizard or the Tamarac Transporter to generate the Trading Data Export. Tamarac Transporter will automatically upload your PortfolioCenter data into Tamarac Advisor daily without the need for manual exporting and importing. It s a best practice to create a set of clients to include in the export to save time and avoid errors. A set is required if you are using Tamarac Transporter to automate your daily data uploading. You have two options for creating sets: Smart sets with this option, you can create a custom field to tag only the portfolios you will include in the export and then create a smart set of those clients so you can quickly update sets. Static sets with this option, you can manually manage the set members as needed. This document outlines the recommended export and upload options, as well as both set creation options. Deciding the Export Method There are a variety of integration options and this document includes detailed steps on the recommended export options. You can either step through the process to generate the Trading Data Export file using the PortfolioCenter Export Wizard each time, or you can set up Tamarac Transporter to create the Trading Data Export file with your appropriate settings saved. Deciding How to Upload to Tamarac You can either upload the data directly to Tamarac Advisor, or you can upload it via the Tamarac Transporter to Tamarac Advisor. Tamarac Advisor Page 2 of 22

Chapter 2: Preparing Data for Export and Upload For best results, regardless of export method, you should take the time to prepare your data appropriately. Before you export data, you should create a set of only the portfolios you intend to upload to Tamarac. Posting and Reconciling Data The most important part of the export and upload data preparation process is to ensure all the data is properly posted and reconciled with the custodian. Make sure all files from all sections (security, price, portfolio and transaction) are in a posted status for all portfolios. If any files are in a pending, partial or error status, correct them before moving on to the export. On the Web If you need help with certain error messages, use our Troubleshooting Interface File Conversion tool. After all the data is posted into the database, use the most recent reconciliation file you have to ensure the data is also accurate, according to the custodial interface. You will know that the positions and cash in the accounts match the custodial records when you get the All Portfolios Reconciled message, similar to the example you see on the right. Creating Sets of Clients for the Export Important You can only use portfolios for the export. Groups are not eligible for upload. Creating portfolio sets is highly recommended for the export to help manage the portfolios for which you export data. Rather than selecting each portfolio one-by-one in the Export Wizard, you can have a saved set of portfolios that is consistently used. You can build sets two ways: Static Sets: a set you build by manually adding portfolios to the details. Smart Sets: a set you build by creating a rule based on aspects of portfolio details. Review this section for more information about creating and updating sets. Tamarac Advisor Page 3 of 22

Chapter 2: Preparing Data for Export and Upload Creating and Maintaining Static Sets Creating statics sets is easy follow the steps in this section to create and update a static set. Note You should only include portfolios rather than groups or households in the export set. These instructions guide you through adding only client portfolios to the set. Steps to Create the Static Set 1 From the Portfolios tab, click the Sets subbutton, located on the left side of the window. 2 From the view of the set names, click the New button to create a new set. 3 In the New dialog, select A new Static Set, and then click OK. 4 Give the set a Name and a Description. You might want to use something descriptive like Tamarac Clients or Rebalance Clients. 5 Check the boxes next to each portfolio you want to be a member of the set. Remember to only include individual portfolios, not any groups. 6 Click the Save button to save the set. Tamarac Advisor Page 4 of 22

Chapter 2: Preparing Data for Export and Upload Updating the Static Set As you work with your data, you may find you need to add or remove set members. Follow the steps in this section to add or remove set members. 1 From the Portfolios tab, click the Sets subbutton, located on the left side of the window. 2 Select the Tamarac Set or set you want to update, and then click the Go to Details button. 3 In the set details, check the box next to any new portfolio you want to include and/or uncheck the box next to any existing member you want to remove. 4 Click the Save button to save set member changes. Tamarac Advisor Page 5 of 22

Chapter 2: Preparing Data for Export and Upload Creating and Maintaining Smart Sets You can create smart sets based on any portfolio detail. However, for use with Tamarac, it is best to create a custom field and assign it to only the accounts you want to include in the export. This method makes it easy to manage and update set members. Follow the steps below to create, update, and manage your set. Creating the Custom Field In this section, we guide you though creating the custom field and then setting the custom field so that you only tag the client portfolios you want to include in the export. Note You should only include portfolios rather than groups or households in the export set. These instructions guide you through adding only client portfolios to the set. 1 From the main portfolios tab, open the Define Custom Portfolio Fields dialog. From the menu bar, go to: Settings Define Custom Portfolio Fields 2 The Define Custom Portfolio Fields dialog opens. Click the Add button in the upper right to add a new field. 3 For the field criteria, add the following settings: Field Name: Tamarac Client Group By: Account Fields Value Type: True/False Drop Down List: No Default Value: True Applies To: Portfolio 4 Click OK to save the field. Tamarac Advisor Page 6 of 22

Chapter 2: Preparing Data for Export and Upload Creating the View and Editing Client Details In this section, we ll create the view we ll use to edit portfolio information, including the custom fields we just created. This view will be used to update the list of portfolios included for the Trading Data Export. 1 From the main portfolios page, click the Data Manager button. 2 In the view navigator pane, click the Add View button (circled in the example on the right). You can also right-click in the view list and select Add View from the list. 3 The New View dialog opens. Enter a View Name in the View Name field. Skip the Category field, and enter a View Description in the Description field. 4 This rule will only apply to portfolios. In the Portfolios Criteria area of the window, click the Add Criteria link to define the view criteria. 5 The Define Criteria window opens. In the Column field, click the browse button. Expand the Custom Fields section. Select Tamarac Client from the custom fields list. 6 In the Operator field, select =. 7 In the Value field, select True. 8 Click the Add button on the right to add another line below the Cost Basis Field. 9 In the Column field, click the browse button and select Closed Account from the list. 10 In the Operator field, select = and in the Value field, select False. 11 Click OK to save the criteria for the rule. 12 Back in the New View dialog, click the Columns tab to see a list of data to include in the view. 13 On the columns tab, we are adding information we want to see in the view results. At minimum, you must have Portfolio Description, Account Number, and the custom field Tamarac client. From the left pane, locate the Tamarac Client field, and then click the right arrow button to move it to the right. 14 Click OK to save the changes. Tamarac Advisor Page 7 of 22

Chapter 2: Preparing Data for Export and Upload This step is to prepare the data to make it easier to filter out accounts that do not need to be exported to Tamarac Advisor. You will use these steps when you create the sets or when you need to update portfolio details. 1 From the list of views, double-click the Tamarac Clients view to see the results of the view. 2 For the first account that does NOT need to be included in the Trading Data Export, change the Tamarac Client column from True to False. Click in the field, and then select False from the list. 3 Copy the False setting in for the first portfolio, and then paste it into the Tamarac Client column for each portfolio that does not need to be included in the export. 4 Double-click the view to run it again and to save the settings. The resulting list should be the list you will send to Tamarac Advisor. Creating the Smart Set Next, create the smart set, based on the setting of the Tamarac Client custom field. This section shows you how to create a rule and a smart set using the Set Builder. 1 From the main portfolios tab, click the sets button to the left of the window listing the portfolios. 2 A list of all sets appears in the window. Click the Set Builder button at the bottom of the window. 3 In the set builder dialog, click the Add button to create a new Smart Set. 4 In the set details, enter a smart set name and description. 5 Click the browse button to the right of the rule field. From the Select a Rule window, select the Tamarac Client rule you created for the View above. Click OK to select the rule. 6 Click OK to save the smart set. 7 In the Set Builder, check the box under the Batch Updates column and then click Close. Tamarac Advisor Page 8 of 22

Chapter 2: Preparing Data for Export and Upload On the Web As you add new portfolios, you should make sure your data management process includes managing this setting and updating smart sets. For more information about managing new portfolios, see Finding and Processing New Portfolios in your PortfolioCenter Database. Maintaining the Smart Set As you add, remove or change portfolio information, you will need to update the Tamarac set. Updating the set is fast and easy, once portfolio details have been updated and the Tamarac Client custom field has bet set correctly. 1 While on the Portfolios tab, select Sets at the upper left. 2 Click the Set Builder button, located below the list of sets. 3 Update the set at the click of a button or from a couple of menu clicks: If you only want to update the Tamarac set, select or highlight the set, and then from the menu bar, go to Action Update Selected Set. If you want to update several sets, including the Tamarac set, click the Update Batch button. All Smart Sets with the Batch Update setting checked are updated. 4 After your Smart Sets have been updated, you see the Batch Update Error Report Dialog. This dialog lists the sets you chose to update, with an indication that they were updated successfully. Click OK to close the report, and click Close to close the Set Builder dialog. 5 When you are finished updating sets, click the Close button to close the Set Builder dialog box. Tamarac Advisor Page 9 of 22

Chapter 3: Exporting and Uploading Data With Tamarac, you have a few exporting and uploading options. This chapter explains each of the recommended options and shows you how to perform the appropriate steps. Options for Exporting and Uploading Data to Tamarac In this section we will compare and contrast the two options: the PortfolioCenter Export Wizard Trading Data Export and the Tamarac Transporter. Export wizard option: use the Trading Data Export in PortfolioCenter Export Wizard to generate the data, and then upload the resulting.zip file to Tamarac Advisor. For step-by-step instructions and more information, see the Using the Export and then Upload Option section starting on page 11. Transporter option: use the Tamarac Transporter desktop application to automatically export and upload the data. For step-by-step instructions and more information, see the Exporting and Uploading Using Tamarac Transporter section starting on page 17. Notes As we described in Chapter 1, Tamarac Advisor can accept both.csv and.xml file types from PortfolioCenter. However, we strongly recommend using the Trading Data Export.XML in the.zip file format for ongoing integration with Tamarac. The export can be scheduled using either a command line prompt for the Trading Data Export or using Windows Scheduler to launch Tamarac Transporter. While the scheduled tasks can be a time saver, to have accurate trades, you must have accurate data. The best way to ensure your data is accurate is to make sure it is fully reconciled before you export and upload data to Tamarac. For that reason, we strongly recommend following the steps in this guide to ensure that the export and upload does not take place until after the data has been fully reconciled. However, for more information about scheduling the export, see Chapter 4 of the Trading Data Export Developer s Guide or the Tamarac Transporter documentation. Tamarac Advisor Page 10 of 22

Chapter 3: Exporting and Uploading Data Using the Export and then Upload Option When using the export and then upload option, you are manually creating the zipped.xml file in the PortfolioCenter Export Wizard, and then uploading the file into the Advisor website. The sections below explain your options, and then show you, step-by-step, how to complete each export option. Exporting Data Using the PortfolioCenter Export Wizard The two options detailed below for generating the PortfolioCenter Trading Data Export are: Export only positions: this option gives you only the current positions which are used to create rebalancing trades. For steps on this process, see the Exporting Only Positions section below. Export positions and transactions: this option gives you current positions, as well as transaction history for the specified period of time. Use this export if you want to create trades and/or take advantage of the Tamarac Reconciler feature. For steps on this process, see Exporting Positions and Transactions for Reconciler section starting on page 14. Important As a best practice we require using portfolio sets with any export so you only get data you need. For all the data preparation steps and options for creating sets, see Chapter 2: Preparing Data for Export and Upload starting on page 3. Exporting Only Positions 1 Open the PortfolioCenter Export Wizard. From the desktop, go to: Start All Programs Schwab Performance Technologies Tools PortfolioCenter Export Wizard 2 If you see the welcome page, click Next to bypass the page. 3 On the login page, select the application server if different than what is displayed and then enter the user name and password. 4 Click Next. 5 From the Select Dataset page, select the name of the dataset containing your Tamarac clients. 6 Click Next. Tamarac Advisor Page 11 of 22

Chapter 3: Exporting and Uploading Data 7 On the Select Export page, scroll to the end of the list and select the Trading Data Export. 8 Click Next. 9 On the Edit Settings page, in the General section, select the current date for the As Of Date setting, and then select the most recent market date for the Price Date setting. This practice is somewhat different than running reports or other exports. In those situations, you will most likely use an As Of Date that matches the price date. However, to be consistent with how Tamarac uses dates, the As Of Date should be the same as the current system date, and then use a Price Date equivalent to the most recent market date you have available in your database 10 In the Source section, select Portfolios In Set and then select the set you created of your Tamarac Clients. 11 For the remaining settings, select False. 12 Click Next. 13 On the Export Settings page, select ZIP Format in the format field, and then select the location you want to save the file to in the Target field. The file should be named according to your file naming conventions, usually including the file date. 14 Click Next. Tamarac Advisor Page 12 of 22

Chapter 3: Exporting and Uploading Data 15 On the export succeeded page, verify that the export was successful. If it was completed successfully, check the Save Export Settings box to save the settings for the next export. 16 Click Finish to close the export. Tip When you save the export settings, you only need to edit the As Of Date and Price Date settings in step 9 above for each subsequent date that you run the export. Tamarac Advisor Page 13 of 22

Chapter 3: Exporting and Uploading Data Exporting Positions and Transactions for Reconciler Note The steps below describe exporting transactions for a single day and assume you have already set up the Reconciler feature functionality in Tamarac. The first time you employ either of these capabilities, you should export 30 days of transactions. After that initial set up, on a daily basis, you only need to export the last transaction date. 1 Open the PortfolioCenter Export Wizard. From the desktop, go to: Start All Programs Schwab Performance Technologies Tools PortfolioCenter Export Wizard 2 If you see the welcome page, click Next to bypass the page. 3 On the login page, select the application server if different than what is displayed and then enter the user name and password. 4 Click Next. 5 From the Select Dataset page, select the name of the dataset containing your Tamarac clients. 6 Click Next. 7 On the Select Export page, scroll to the end of the list and select the Trading Data Export. 8 Click Next. Tamarac Advisor Page 14 of 22

Chapter 3: Exporting and Uploading Data 9 On the Edit Settings page, in the General section, select the current date for the As Of Date setting, and then select the most recent market date for the Price Date setting. This practice is somewhat different than running reports or other exports. In those situations, you will most likely use an As Of Date that matches the price date. However, to be consistent with how Tamarac uses dates, the As Of Date should be the same as the current system date, and then use a Price Date equivalent to the most recent market date you have available in your database 10 In the Source section, select Portfolios In Set and then select the set you created of your Tamarac Clients. 11 For the Transaction Information settings, enter the same date you used for the Price Date setting above in both the From Date and To Date fields under Transaction Information. 12 For the remaining settings, select False. 13 Click Next. 14 On the Export Settings page, select ZIP format in the format field, and then select the location you want to save the file to in the Target field. The file should be named according to your file naming conventions, usually including the file date. 15 Click Next. 16 On the export succeeded page, check the box to Save Export Settings. 17 Click Finish to close the export. Tip When you save the export settings, you only need to edit the As Of Date, Price Date, Transaction From Date and Transaction To Date settings in steps 9 and 11 above for each subsequent date that you run the export. Tamarac Advisor Page 15 of 22

Chapter 3: Exporting and Uploading Data Uploading Directly to Tamarac Advisor Important The steps in the following set up section apply to Tamarac Advisor version 8. 1 Open Tamarac Advisor and login. 2 From the Home page, click the Upload menu option. 3 On the Upload page, click the Data Upload sub-tab. 4 Under the Upload Options section, select the Upload from File radio button, and then click the Browse button to select the ZIP file exported from PortfolioCenter. 5 Click the Upload button to start the upload. 6 When the upload is complete, you should see a message that the upload was successful. 7 Once you receive the success message, click the Upload Status tab to review all upload status messages and complete the upload process by synchronizing. Tamarac Advisor Page 16 of 22

Chapter 3: Exporting and Uploading Data Exporting and Uploading Using Tamarac Transporter The benefit of having Tamarac Transporter is that, once configured, you can launch the export with the click of a mouse. Once launched, Tamarac Transporter can automatically export the PortfolioCenter Trading Data Export file, and upload it to Tamarac Advisor. Exporting and uploading using Tamarac Transporter includes position data and at least one day s worth of transactional data. Notes To take advantage of this time savings, you must first install and configure Tamarac Transporter. See the Tamarac Transporter documentation that is included with the download for more information about installing and configuring Tamarac Transporter: http://www.tamaracinc.com/tamarac-transporter-download.asp For optimal functionality, you should take the time to ensure Transporter is properly configured to be used with PortfolioCenter. See the Optimal Tamarac Transporter TM Configuration Settings section of the Appendix, for a screenshot and explanation of the optimal settings. Once you have saved the appropriate settings, you can initiate the export and upload by selecting the Tamarac Transporter Start File Upload, either as a shortcut on your desktop or by going to: Start All Programs Tamarac Transporter Start File Upload The export and upload starts. Once it is finished, the email address(es) listed in the Tamarac Transporter, Tamarac Advisor Settings, Confirmation Email dialog box will receive a message that the file(s) were successfully uploaded. After receiving the automated email, log in to Tamarac Advisor to review all upload status messages and complete the upload process by synchronizing. Tamarac Advisor Page 17 of 22

Appendix Optimal Tamarac Transporter TM Configuration Settings To get the full benefit of streamlined and automated process, we recommend the following Tamarac Transporter File Settings: 1. Login Email and Password: Enter the email and password credentials you use to login to Tamarac Advisor. 2. Confirmation Email: when the upload is successful, Tamarac will send you an email indicating the export and upload was successful. Enter the email addresses you want to receive this confirmation email. 3. File Directory: the path of the location of the exported.zip file. This is also the path the Tamarac Advisor upload will look for the.zip file. 4. Integrate with PortfolioCenter and Automatically generate PortfolioCenter XML and Upload the File: check the box and select the Automatically Upload option to streamline the process. 5. Username, Password, Application Server and Dataset: In these fields, enter the PortfolioCenter login credentials, as it appears on the login screen when you first launch PortfolioCenter. 6. Portfolio Set: the name of the set you created for the Tamarac export. For more information about sets, see Chapter 2: Preparing Data for Export and Upload starting on page 3. A set is required if you are using Tamarac Transporter to automate your daily upload. 7. As Of Date, Price Date, Transaction From Date, Transaction To Date, and associated check box settings: Each of these dates are automatically populated with the current system date. Ensure the current date is displayed in each of these fields, and that the boxes to the right of the fields are checked. Tamarac Transporter will adjust the dates appropriately to select the current system date for the As Of Date and the previous market date for the Price Date, Transaction From Date and Transaction To date. Tamarac Advisor Page 18 of 22

Appendix Troubleshooting While the export and upload process is simple and easy, if you run into problems with either part of it, you have resources to help you through troubleshooting and correcting the problems. This section guides you through some of the common warning messages, other tips and best practices that can help the export run more quickly and efficiently, and who to contact when you can t resolve these problems on your own. Common Warning Messages When Uploading to Tamarac Advisor The upload occasionally produces error messages to indicate data problems. The examples below are some of the most common error messages and tips for correcting them. Message Example Line xxxxx for the (dataset name) Data Set refers to an unknown Symbol. Line xxxxx for the (dataset name) Data Set has an invalid value of (x.xx) for a buy price. Valid values are between 0.000001 and 9,000,000,000,000.00 Line xxxxx for the (dataset name) Data set has an invalid value of 0.00 for Shares. Valid values are between 0.00 and 9,000,000,000,000.00 The account holdings has invalid holdings as of (xx/xx/xxxx) which does not match the price date of (xx/xx/xxxx) please verify your holdings export file (Account Name) does not have enough permission on account (numberxxxx-xxxx) to complete the action on line xx for the (dataset name) Data set. Line x for the (dataset name) Data Set is missing the (field name: example unique Account ID) required field. Data Condition or Error Unknown Symbol verify the ticker symbol in PortfolioCenter Invalid Buy Price usually associated with a zero buy prices verify the buy price in PortfolioCenter Invalid Shares usually associated with negative positions verify the position in PortfolioCenter. As Of Date does not match price date verify that the as of and price dates are the same in the export settings Unknown Account the account in the dataset is not set up in Tamarac. Verify set membership and that you have everything set up correctly at Tamarac Missing Required Field verify the set membership and data in PortfolioCenter. Tamarac Advisor Page 19 of 22

Appendix Additional Warning or Error Messages with Tamarac Transporter The above listed messages that you may see when directly uploading to Tamarac Advisor may also apply when using Tamarac Transporter. Based on the connectivity that Tamarac Transporter enables, you may also see the below additional error messages when using Transporter to export and upload your PortfolioCenter data. Message Example Where you see the message Data Condition or Error Login email is incorrect for Tamarac Advisor Unable to login to Tamarac Advisor. Please check the proxy settings Failed to export: Login Failed. Please try again Tamarac Transporter Tamarac Transporter PortfolioCenter The login information used in Tamarac Transporter does not match what Tamarac Advisor has on file. Tamarac Transporter is unable to make contact with Advisor, probably due to network, internet or proxy issues. The PortfolioCenter database login credentials are incorrect. Tamarac Advisor Page 20 of 22

Appendix Troubleshooting Resources There are many data management best practices that could make the export run more efficiently. Some of those tips are below, but refer to the document in the note box below for a more complete list. On the Web For more information about other tasks you can take to make the export run smoothly/more quickly, see PortfolioCenter Configuration and Resources Best Practices Delete used interface files After interface files have been converted, posted and reconciled, keeping the posted status icons on the interface tab inflates the size of the database, which can affect performance. Ideally, you should delete these statuses and archive the raw files on a regular basis. For more information and steps for deleting these files, see Interface File Maintenance Procedures. Re-index Database Re-indexing rearranges data pages so they are positioned in an optimized order. The goal of the reindex is to improve speed by making the data easier to find. Ideally, you should re-index the database on a regular basis. See Shrinking and Re-indexing the PortfolioCenter Database for more information. Remove Orphaned Sessions Orphan sessions occur when PortfolioCenter is suddenly terminated without ending the session appropriately, either by ending task or an application crash. These orphan sessions can affect application login times. Clearing them on a regular basis should help shorten login times. For more information about clearing orphaned sessions, see Finding Orphaned Sessions of PortfolioCenter. Restart the SPT Service On the machine that houses the application server, you should set up a task to stop and start the SPT server on a regular basis to improve performance and prevent memory leaks. Ideally, you should stop and restart the service daily. See Starting and Stopping the SPT PortfolioCenter Service for more information. Tamarac Advisor Page 21 of 22

Appendix Getting More Help If you find that you need help, there are two teams you can tap for more information, help and troubleshooting. See the table below to be directed to the right team to help you in the right situation: Issue Problems using the Export Wizard, including trouble with the settings, errors during the export or problems finding the file after the export Incorrect values or data in the exported data Problems with data in PortfolioCenter, including creating or working with custom fields and smart sets Problems during the upload, including any of the error messages listed above Contact this support team PortfolioCenter Technical Support PortfolioCenter Technical Support PortfolioCenter Technical Support Tamarac Technical Support PortfolioCenter Technical Support Contact Information Toll free phone support: 1-800-528-9595, Option 4. Live technical support is available Monday Friday, 8:00 AM 6:00 PM, Eastern Time Email: SPT-Support@schwabpt.com Website: https://www.schwabpt.com Tamarac Technical support Contact Information Toll free phone support: 866-447-5946 Live technical support is available Monday Friday 6:30 AM 4:30 PM, Pacific time Email: support@tamaracinc.com Website: www.tamaracinc.com Tamarac Advisor Page 22 of 22