Carret PMS — Client Intelligence Platform

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Here is what is happening today

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— Today at a glance

— Risk & Compliance Heat

1. Select Clients

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2. Report Dates

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View

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
No data

Top Holdings

#	Security	Ticker	Market Value (USD)	Unreal. P&L (USD)	% Net Assets
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#	Date	Account	Type	Security	CCY	Amount
Load dashboard to see transactions

AI Assistant

Load portfolio first

Ask questions about the portfolio.

What is the total AUM? Summarise the asset allocation What is the concentration risk? Which currencies are we exposed to?

Answers

Breach Trend — Past 12 Months

Breach Trend chart (above) is Ops/Admin only. RMs can scan their own clients below.

Report Date

Filter by RM

Status

Previous Reports

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

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AI Assistant

Load firm data first to enable context-aware answers.

What is total AUM? Which bank has the most AUM? Who are the top 5 clients? What are the top holdings? Summarise the firm snapshot

Answers

Upload

Monitor

BOS PDF

Positions

Bank Statements

1Upload

2Review & Link

3Commit to PMS

Upload bank statement

Select a bank to get started.

Bank

Drop files here or click to browse

PDF · CSV · XLSX — max 50MB each

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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BOS PDF Statements

Upload BOS E-Statement PDFs to extract holdings and transactions.

Statement Date	Portfolio	Tenant	Holdings	Transactions	Unmatched	Status	Uploaded	Actions
Click Refresh or upload a PDF to get started.

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

Exec Date	Client	Security	Type	Quantity	Price	CCY	Notional	Commission	Status	Approval	Actions
Set filters and click Search to load trades

Client

Month

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	Security	AUM	Rate (bps)	Retro Amount	CCY	USD Amt	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
Select a quarter to load data

Retrocessions Earned

Total Retro Earned

All time

This Quarter

This Year

Approved Retrocessions

Date	Bank	Account No.	Client Name	Security	AUM	Rate (bps)	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	Security	AUM	Rate (bps)	Retro Amount	CCY	USD Amt	Comment	Actions
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Date	Bank	Account No.	Client Name	RM	Security	AUM	Rate (bps)	Retro Amount	CCY	USD Amt	Status	Actions
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Total

Holdings Explorer

Firm-wide holdings — filter and group by domicile, client type, asset class, or custodian.

As at:

Mandate

Domicile

Client Type

Custodian

🔍

Group by:

Accounts

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B — Disc AUM

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C — Adv AUM

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Total AUM

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Grouped by Domicile

Click a row to expand accounts

Group	B – Disc (HKD'000)	C – Adv (HKD'000)	Total (HKD'000)	% of Total	Accounts
Select the Holdings panel to load data.

Excludes P/R mandates and Section 2 fund vehicles (Phoenix, Jewel, CyberAtlas) · FX at selected date rates (pms_statementfxrate)

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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Product Approval Queue

Auto-created securities pending RO review before trading is enabled

Created	Security	AI Classification	Confidence	Reason	Requires Licence	Status
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Securities Library

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

Security Name	Ticker	ISIN	Asset Class	PRR	Status	Linked Records
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Clients

All Not screened High risk Missing agreement

Client	RM	Type	Agreement	AML Status	Risk Tier	CRA Score	Next Review
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Bank Connections

Manage SFTP connections to custodian banks. Pull connections download statements automatically on a schedule.

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Carret Private Capital

Client Report

1. Select Clients

2. Report Dates

3. Select Accounts

Holdings Dates

Net New Money

AI PnL Attribution ▲

Commissions & Fees

Bank Retrocessions (Proposed)

Asset Allocation

Currency Exposure

Country Exposure

Sector Exposure

AUM by Bank / Custodian

Asset Allocation Limits

Top Holdings

Bank Transactions

AI Assistant

Answers

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

AI Assistant

Answers

Upload bank statement

BOS SFTP Ingester

Download History

BOS PDF Statements

Trades

Results

Uploaded Statements

Parser Templates

Train New Template

Retrocessions Earned

Approved Retrocessions

Pending Approval

Transactions Awaiting Your Approval

All Retrocessions — Flat Table

Holdings Explorer

Client Bank Accounts

New Account

Transaction Policy

Compliance Exceptions

Review Compliance Exception

Product Approval Queue

Securities Library

Clients

Bank Connections

Submit PA Trade Request

Request Detail

Add Approval

Return to Client

Upload Retrocession Statement

Confirm Approval

Confirm Action

New Trade

Product Due Diligence

§1 — Product Identification

§2 — Risk Profile

§3 — Structured / Derivative Product Details

§4 — Due Diligence & Analysis

Create New Security

Core Identity

§1 — Product Identification

§2 — Risk Profile

§3 — Structured / Derivative Product Details

§4 — Due Diligence & Analysis

Settings

Approval Settings