Carret PMS — Client Intelligence Platform

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Here is what is happening today

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Live · refreshed just now

— Recent Executions last 3 days · from confirmations

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— Today's Activity Live

— Waiting on you

— Today at a glance

— Risk & Compliance Heat

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RM Performance

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1. Select Clients

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Selected Clients

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2. Report Dates

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Client

Date

Total Assets

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Net Assets

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Total Loans

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Positions

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Accounts

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Asset Allocation

Currency Exposure

Country Exposure

Sector Exposure

#	Bank / Custodian	AUM (USD)	% of Total
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Top Holdings

#	Security	Ticker	Market Value (USD)	Unreal. P&L (USD)	% Net Assets
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#	Date	Account	Type	Security	CCY	Amount
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View:

Report Date

Filter by RM

Status

Previous Reports

View Breakdown By

Breach check runs across all three classification dimensions simultaneously. A holding is flagged if it matches a limit category from any angle — product wrapper, product type, or underlying exposure. The "View Breakdown By" toggle above changes which angle is shown in the Breakdown column; it does not affect the breach check itself.

Accounts Scanned

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Accounts in Breach

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Total Breaches

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Most Common Breach

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Allocation Breach Report

Click Scan to run the allocation breach check.

Admin access only — firm-wide aggregated data

Report Date

Total AUM

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Banks / Custodians

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Active Clients

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Total Accounts

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Positions

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AUM by Bank / Custodian

Top 10 Clients by AUM

Total AUM — Past 12 Months

⚠ Data completeness: The most recent month's AUM (amber dot) may be understated if not all account data has been uploaded to the PMS yet.

Net New Money — Past 12 Months

Deposits minus withdrawals — money clients have given or taken from the firm to manage

Client AUM Breakdown

AUM by Year of Approval

Accounts with AUM > 0, grouped by approval year

Year	# of Accounts	Current AUM (USD)	% of Firm
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AUM by Relationship Manager

Accounts with AUM > 0

Relationship Manager	# of Active Clients	Total AUM (USD)
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Fee Type

By Accounts

By Clients

AUM by Bank / Custodian

#	Bank / Custodian	AUM (USD)	% of Total
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Top 10 Clients by AUM

#	Client	AUM (USD)	% of Total
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Top 10 Holdings (Firm-wide)

#	Security	Isin/Ticker	Market Value (USD)	% of Total AUM
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Error Log

Click Refresh to load recent errors.

Statements

Bank Connections

Created At	Created By	Type	Model	Status	File	Records	Message	Actions
Load the panel to see uploads.

	Date	File	Holdings	Unmatched	Status	Downloaded	Actions
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Upload statement

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Bank

Month

Bank	Source	Statement Date	Portfolio	Holdings	Transactions	New Securities	Status	Created Date	Created By	Actions
Click Refresh or upload a PDF to get started.

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Bank —

Client —

Account No. —

Mandate —

Statement Date —

Holdings

Transactions

Cash Movements

Show columns: Market Price Cost Price Accrued Interest

Security	ISIN	Asset Class	Product Type	Qty	Market Value	MV (Local)	Mkt Price	Cost Price	Accrued Int.	CCY	Maturity / Expiry	Rate %	KO Price	Strike	Securities Master
Total
Total incl. Accrued Interest

Date From

Date To

Client

Security

Type

Status

Approval

Total Trades

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Pending Approval

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Buy Notional

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Sell Notional

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Net Commission

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Trades

Trade Details													◈ Reconciliation			◈ Suitability
Exec Date	Client	Acct #	Security	Type	Quantity	Price	CCY	Notional	Commission	Status	Approval	Actions	Recon	Bank Amt	Diff	Suitability	Obj	Strategy	Prod Info	PRR vs CRR
Set filters and click Search to load trades

About this reconciliation — what it checks and why

Matches the firm's internal trade blotter against the custodian / bank statement.

Confirming that what actually settled at the custodian matches the firm's records catches errors, potential fee overcharges, and unauthorised transactions.

Note that your company policy requires every settled buy/sell transaction be traced back to a blotter entry — also because the trade blotter entries trigger pre-trade approved-product, mandate and DD checks.

What to check before sign-off

Field	Why it matters
Security ID	Same instrument on both sides.
Buy / Sell	Direction of the trade agrees.
Quantity	Same number of units / face amount.
Client account	Booked to the correct client account.
Trade / settlement date	Timing agrees (allowing for settlement lag).
Net consideration (cash)	The actual cash that moved ties out.
Execution price	Best execution.
Commission / fees / taxes	Charges are correct — no overcharging.
Currency	Settled in the expected currency.

Client (optional)

Period

Month

Date From

Date To

Upload & Statements

Securities Coverage

Uploaded Statements

Total Statements

Pending RM Approval

Across all statements

RM Approved

Across all statements

RM Rejected

Across all statements

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	Trade Date	Statement	Bank	Account No.	Client Name	RM	Statement Description	Securities Master	Revenue	Rate (bps)	Retro Amount	CCY	USD Amt	Notional	RM Status	Approved By	RM Comment	Return to Client
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Transactions are sent to RMs for approval after upload. Click a statement to view transactions and RM approval status. Use "Reconcile" to cross-check against bank buy transactions.

Security	ISIN	Bank	Client / Account	In Retro Stmt	Bank Trades	Status	Notional Traded	Retro Amount
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Retrocessions Earned

Total Retro Earned

All time

This Quarter

This Year

Approved Retrocessions

Date	Bank	Account No.	Client Name	Statement Description	Securities Master	Txn Group	Bank Product	Revenue	Rate (bps)	Notional	Retro Amount	CCY	USD Amt	Approved Date
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Total

Pending Approval

Pending Your Approval

Requires your review

Pending Total Amount

Across all transactions

Transactions Awaiting Your Approval

Sorted by date, newest first

	Date	Bank	Account No.	Client Name	Statement Description	Securities Master	Txn Group	Bank Product	Revenue	Rate (bps)	Notional	Retro Amount	CCY	USD Amt	Comment	Actions
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Date	Bank	Account No.	Client Name	RM	Statement Description	Securities Master	Txn Group	Bank Product	Revenue	Rate (bps)	Retro Amount	CCY	USD Amt	Notional	Status	Actions
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Total

Upload statements, view holdings and transactions, and manage bank connections.

? Guide

Bank

From

Client

Account #

Asset Wrapper

Product Type

Asset Class

Security

1Upload

2Review & Link

3Save to Database

Upload bank statement

Select a bank to get started.

Bank

Drop files here or click to browse

PDF · CSV · XLSX — max 50MB each

Source	Bank	Client / Account	Statement Date	Holdings	Transactions	Status	Ingested At	Actions
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Client Bank Accounts

Client Name	Account / Portfolio No.	Custodian Bank	Primary RM	Status	Risk	Edit
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Bank Statements

PA Requests

Approvals

Policies

Transactions

History

Upload Statement

Compliance Exceptions

Licence breach records — review and resolve

Date	Security	Requires	Source	Classification Pending?	Status
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Operations & Risk Report

Half-yearly compliance deliverable. Sign-off is restricted to Operations.

Period	Status	Created	Last Edited	Signed Off	Actions
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Status — Draft: editable. Signed Off: locked; only Operations can reopen.

RM Coverage

Each relationship manager, their details (from the firm Staff directory), and the client accounts they cover. Click a row to see the accounts.

	Relationship Manager	Job Title	Email	Contact	Status	Accounts	Actions
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Compliance Report

Half-yearly compliance deliverable. Sign-off restricted to Compliance, Ops, and Admin.

Period	Status	Created	Last Edited	Signed Off	Actions
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Status — Draft: editable. Signed Off: locked; Compliance, Ops, or Admin can reopen.

Product Approval Queue

Securities pending RO review before trading is enabled.

Created	Security ID	Security	Asset Wrapper	Product Type	Asset Class	Created By	Requires Licence	Status
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Total AUM · — accounts

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as of latest month · 6-month window

Watch

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Outflow or near-zero

Review

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Large unexplained swing

New mandates

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Onboarded in window

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Monthly AUM

Securities Library

Browse, edit, and manage all securities in your securities master

Security ID	Security Name	Ticker	ISIN	Description	Asset Class	Asset Wrapper	Product Type	Sector	PRR	Strike	K/O	Expiry/Mat.	CCY	Status	Created By	Created On	Linked Records
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Classification Policy

Reference definitions for Asset Wrapper categories. Admin and Ops/Compliance roles can edit these rules.

ℹ️ This policy is a reference guide in Phase 1. Engine wiring (auto-classification from these rules) is deferred to a follow-up session.

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Custodians

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Clients

All Not screened High risk Missing agreement Active only

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System Updates

Track platform changes and your team's activity in one place.

Users

Name	Login	Email	Role(s)	Status
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Carret Private Capital

TAC System

Client Report

Today's Markets

RM Performance

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1. Select Clients

2. Report Dates

3. Select Accounts

Holdings Dates

Net New Money

AI PnL Attribution ▲

Commissions & Fees

Asset Allocation

Currency Exposure

Country Exposure

Sector Exposure

AUM by Bank / Custodian

Asset Allocation Limits

Top Holdings

Bank Transactions

Firm data is being prepared

AUM by Bank / Custodian

Top 10 Clients by AUM

Total AUM — Past 12 Months

Net New Money — Past 12 Months

Client AUM Breakdown

AUM by Year of Approval

AUM by Relationship Manager

Fee Type

AUM by Bank / Custodian

Top 10 Clients by AUM

Top 10 Holdings (Firm-wide)

Error Log

BOS SFTP Ingester

Download History

Upload statement

Trades

Results

Uploaded Statements

Parser Templates

Train New Template

Retrocessions Earned

Approved Retrocessions

Pending Approval

Transactions Awaiting Your Approval

All Retrocessions — Flat Table

Upload bank statement

Bank Connections

Connections

Encryption Keys

Upload Existing Key

New SSH Key Pair Generated

Client Bank Accounts

New Account

Transaction Policy

Compliance Exceptions

Review Compliance Exception

Operations & Risk Report

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Cannot sign off — monthly evidence incomplete

New Operations & Risk Report

RM Coverage

Staff Member

Compliance Report

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New Compliance Report

Product Approval Queue

Securities Library

Classification Policy

Custodians

Fee Comparison

Clients

System Updates

Users

Submit PA Trade Request

Request Detail

Add Approval

Return to Client

Upload Retrocession Statement