Rebalance Log

Overview

NOTE: The contents of the log reflect the rebalance activities within a ninety (90) day window.

The Rebalance Log provides historical information related to your firm during a specified time period of up to 90 days concerning the creation and modification to rebalance preferences and assignments (models, accounts, clients, and groups), the deletion of rebalances and proposed orders, and the creation of block orders and allocations due to rebalancing.

Top

Viewing the Rebalance Log

  1. Select Trade > Trading Tools > Portfolio Modeling & Rebalancing to launch Modeling & Rebalancing.
  2. Select Audit > Rebalance Log. The Rebalance Log pop-up screen displays.
  3. Either enter the dates manually or use the Calendar icons to complete the From and To fields, which establish the date range for the log.
  4. Select the Export to CSV button to create a zip file containing six .csv log files. NOTE: The zip filename defaults to RebalanceLogs<FromDate(MMDDYY format)>-<ToDate(MMDDYY format)>.zip and contains six .csv files: RebalanceMaster.csv (Rebalance Details/Settings), RebalanceWorkflowPreferences.csv (Rebalance Preference Settings for each Rebalance), RebalanceWorkflowAssignments.csv (Account, Client, Group, and Model Assignments), PreviewListLog.csv (Information Related to Rejected Trades and Orders Deleted from the Proposed Order List), BlockOrderLog.csv (Information Related to the Block Orders Created by the Rebalance), and AllocationLog.csv (Information Related to Any Allocations Associated with the Block Orders Created by the Rebalance). Example: RebalanceLogs111416-111816.zip.
  5. A small pop-up screen displays where you can do one of the following:
    Select the Open button to view the zip file containing six .csv log files.
    OR
    From the Save button, select one of the three options in the drop-down list.
    - Save: Downloads the zip file. A small pop-up screen displays containing three buttons that you can choose to open the file, open the folder containing the file, or view a downloads pop-up screen where you can access the file.
    - Save as: A Save As pop-up screen displays, so you can choose the location where you wish to save the zip file.
    - Save and Open: Opens the zip file and offers the same options as Save.
    OR
    Select the Cancel button to close the pop-up screen without viewing or saving the zip file.
Top

Zip File Content

RebalanceMaster.csv

Label Definition Excel Column Designation Description
AUDIT ID Audit ID A Displays a system-generated ID associated with the log entry.
WORKFLOW ID Workflow ID B Displays a number created internally to the Modeling & Rebalancing application that references the overall rebalance workflow.
FIRM ID Firm ID C Displays the ID of the firm associated with the individual who created/last edited the selected rebalance workflow.
WORKFLOW NAME Workflow Name D Displays the name of the rebalance workflow.
TARGET VALUE Target Value E Based on the contents of the Rebalance Target field, displays the name of the Client, Group, Account, or Model selected for the rebalance workflow.
MIN CORE CASH UNIT INDICATOR Min Core Cash Unit Indicator F Indicates the frame of reference for the value in the Minimum Core Cash After Rebalance (MCCAR) field. Options are: %: Percent or $: Dollars.
MIN CORE CASH VALUE Min Core Cash Value G Displays the contents of the Minimum Core Cash After Rebalance (MCCAR) field.
GENERATE CASH VALUE Generate Cash Value H Displays the contents of the Cash to Generate (CTG) field. NOTE: Displays for a Generate Cash rebalance workflow only.
CASH DEBIT INDICATOR Cash Debit Indicator I Indicates whether the content of the Cash Debit field is included (checkbox selected) in the rebalance workflow. Options are: 0: Not Selected and 1: Selected.
CASH CREDIT INDICATOR Cash Credit Indicator J Indicates whether the content of the Cash Credit field is included (checkbox selected) in the rebalance workflow. Options are: 0: Not Selected and 1: Selected.
MODEL SELECT INDICATOR Model Select Indicator K Indicates whether the user chose to use the assigned model or pick a different model during the rebalance. Options are: 0: User selected a different model or 1: User chose to use the Assigned Model.
MODEL SELECT ID Model Select ID L Displays the name of the model used in the rebalance if MODEL SELECT INDICATOR = 0. Otherwise displays as null.
LOG ACTION CODE Log Action Code M Displays the action performed on the rebalance workflow. Options are: CREATE, DELETE, and EDIT.
CREATED BY Created By N Displays the name of the user who created the rebalance workflow.
CREATE TIMESTAMP Create Timestamp O Displays the timestamp associated with the Log Action Code. Format: MM/DD/YYYY HH:MM (24 Hour Clock)
Rebalance ACTION ID Rebalance Action ID P Displays the code associated with the selected rebalance type. Options are:1: Standard Rebalance, 2: Generate Cash, 3: Invest Cash - Buy Proportional, 4: Liquidate Account, or 5: Invest Cash - Minimize Trades.
DISTRIBUTION METHOD ID Distribution Method Q Displays the Rebalance To setting for the rebalance workflow. Options are: 1: Target or 2: Tolerance.
REBALANCE TARGET Rebalance Target R Displays the target selected for the rebalance workflow. Options are: 1: Client, 2: Group, 3: Account, or 4: Model.
RUN REBALANCE DATE Run Rebalance Date S Displays the time the rebalance was performed. Format: HH:MM (24 Hour Clock).
WORKFLOW STATUS Workflow Status T Displays the status associated with running the rebalance workflow. Options are: <Blank>, Fail or Complete.
ORDER SENT DATE Order Sent Date U Displays the date when the proposed rebalance orders were sent to the Unsent Orders List.
Access Access Type V Displays the type of access to the rebalance. Options are Public or Private. NOTE: This column displays if entitled.
NODE ID Node Level W Displays the level of the node in the hierarchy.
ACCOUNT SELECTED INDICATOR Account Selection Indicator X Displays whether or not the user used the entire group or selected individual accounts during the rebalance. Options are 0 (No) or 1 (Yes).
HOUSEHOLD INDICATOR Household Indicator Y Indicates the type of rebalance that was run. Options are 0 (Standard) or 1 (Household).
Top

RebalanceWorkflowPreferences.csv

Label Column Excel Column Designation Description
AUDIT ID Audit ID A Displays a system-generated ID associated with the log entry.
LOG ID Log ID B Displays the system-generated ID associated with the rebalance log entry.
FIRM ID Firm ID C Displays the ID of the firm associated with the individual who created/last edited the selected rebalance workflow.
CREATED BY Created By D Displays the name of the individual who created the selected rebalance workflow.
WORKFLOW ID Workflow ID E Displays the system-generated ID for the rebalance workflow.
PREFERENCE ID Preference ID F Displays a system-generated ID indicating the preference settings for the rebalance workflow.
WORKFLOW NAME Workflow Name G Displays the name of the rebalance workflow.
APPLY RESTRICTION INDICATOR Apply Restriction Indicator H Reflects the setting on the Set Preferences Tab of the rebalance workflow. Indicates whether established restrictions (Apply Restrictions) will be imposed when performing a rebalance. Options are: <Blank>: No and 1: Yes.
APPLY EQUIVALENCE INDICATOR Apply Equivalence Indicator I Reflects the setting on the Set Preferences Tab of the rebalance workflow. Indicates whether established equivalences (Apply Equivalences) will be imposed when performing a rebalance. Options are: <Blank>: No and 1: Yes.
APPLY ASSET LOCATION RULE INDICATOR Apply Asset Location Rule Indicator J Indicates whether or not Asset Location Rules were applied to the rebalance. Options are: <Blank>: No and 1: Yes. NOTE: Only populates if you are an advanced rebalancing customer.
INTRADAY INDICATOR Intraday Indicator K Reflects the selection of the drop-down list on the Set Preferences Tab of the rebalance workflow used to specify the price type of the positions and balances in the order at the time of the rebalance. Options are: Intraday and Previous Day Closing.
MARKET VALUE LEGAL Market Value Legal L Reflects the setting of the checkbox used to include (check) or exclude (uncheck) the market value of the Legal position type. Options are: <Blank>: No and 1: Yes.
MARKET VALUE DIVIDEND Market Value Dividend M Reflects the setting of the checkbox used to include (check) or exclude (uncheck) the market value of the Dividend position type. Options are: <Blank>: No and 1: Yes.
MARKET VALUE WHEN ISSUED Market Value When Issued N Reflects the setting of the checkbox used to include (check) or exclude (uncheck) the market value of the When Issued position type. Options are: <Blank>: No and 1: Yes.
MARKET VALUE RESTRICTED STOCK Market Value Restricted Stock O Reflects the setting of the checkbox used to include (check) or exclude (uncheck) the market value of the Restricted Stock position type. Options are: <Blank>: No and 1: Yes.
DEFAULT ORDER TYPE Default Order Type P Displays the Default Order Type setting on the Set Preferences Tab of the rebalance workflow. Options are: Market and Limit.
DISPLAY ZERO QUANTITY INDICATOR Display Zero Quantity Indicator Q Displays the Display Zero Quantity Trades setting on the Set Preferences Tab of the rebalance workflow. Used to specify whether or not to display zero quantity trades. A zero quantity trade is an indicator that no trade was generated as a result of the rebalance. Options are: 0: No (do not include) and 1: Yes (include).
PRICE TYPE Price Type R Displays Options are: Real Time, Delayed Price, and Previous Day Closing.
MINIMUM TRADE TYPE Minimum Trade Type S Displays the frame of reference for the Minimum Trade Value field. Options are: Dollars, Shares, and Percent.
MINIMUM TRADE VALUE Minimum Trade Value T Displays the minimum amount for any rebalance order. The frame of reference for this value displays in the Minimum Trade Type field.
SELL ROUNDING DIRECTION Sell Rounding Direction U Displays the rounding direction for the To the nearest unit setting for Sells on the Set Preferences Tab of the rebalance workflow. Options are: Down and Up.
SELL ROUNDING UNIT Sell Rounding Unit V Indicates the frame of reference for the Sell Rounding Rules. Shares is the only option.
SELL ROUNDING DIGIT Sell Rounding Digit W Displays the To the nearest unit setting for Sells on the Set Preferences Tab of the rebalance workflow. Options are: 1, 5, 10, 25, 50, 75, 100, 500, and 1000.
BUY ROUNDING DIRECTION Buy Rounding Direction X Displays the rounding direction for the To the nearest unit setting for Buys on the Set Preferences Tab the rebalance workflow. Options are: Down and Up.
BUY ROUNDING UNIT Buy Rounding Unit Y Indicates the frame of reference for the Buy Rounding Rules. Shares is the only option.
BUY ROUNDING DIGIT Buy Rounding Digit Z Displays the To the nearest unit setting for Buys on the Set Preferences Tab of the rebalance workflow. Options are: 1, 5, 10, 25, 50, 75, 100, 500, and 1000.
LOG ACTION CODE Log Action Code AA Displays the action performed on the rebalance workflow. Options are: CREATE, DELETE, and EDIT.
NODE ID Node Level AB Displays the level of the node in the hierarchy.
Top

RebalanceWorkflowAssignments.csv

Label Column Excel Column Designation Description
AUDIT ID Audit ID A Displays a system-generated ID associated with the log entry.
LOG ID Log ID B Displays the system-generated ID associated with the running of the rebalance.
WORKFLOW ID Workflow ID C Displays the system-generated ID of the rebalance workflow.
WORKFLOW NAME Workflow Name D Displays the name of the rebalance workflow.
FIRM ID Firm ID E Displays the ID of the firm associated with the individual who created/last edited the rebalance workflow.
CREATED BY Created By F Displays the name of the user who created the rebalance workflow.
ACCOUNT NAME Account Name G Based on the Rebalance Target, displays the Client Name, Group Name, Account Number, or Model Name.
CUSTODIAN ID Custodian Indicator H Displays the custodian ID associated with the specified account.
ACCOUNT SOURCE Account Source Code I Displays a code that identifies the provider of the account information. Some of the options are: Fidelity Brokerage: Fidelity Brokerage Accounts, FPRS: Fidelity 403(b)/401(k) Accounts, NFS: National Financial Accounts, XAVNT: Advent, and BLKD: Black Diamond.
CASH CREDIT INDICATOR Cash Credit Ind J Indicates whether the value in the Cash Credit field will be used in the rebalance workflow (Is the associated checkbox selected?). Options are: 0: No and 1: Yes.
CASH DEBIT INDICATOR Cash Debit Indicator K Indicates whether the value in the Cash Debit field will be used in the rebalance workflow (Is the associated checkbox selected?). Options are: 0: No and 1: Yes.
OVERRIDDEN MCCAR VALUE Overridden Minimum Core Cash After Rebalance Value L NOTE: This column displays a 0 and currently is not used.
OVERRIDDEN GENERATE CASH VALUE Overridden Generate Cash Value M NOTE: This column displays a 0 and currently is not used.
ASSIGN MODEL ID Assign Model ID N Displays the name of the model used in the rebalance workflow.
MARKET VALUE Market Value O Displays the value in the Market Value field.
CORE CASH Core Cash P Displays the value in the Core Cash field.
CASH DEBIT Cash Debit Q Displays the value in the Cash Debit field.
CASH CREDIT Cash Credit R Displays the value in the Cash Credit field.
NET CASH Net Cash S Displays the value in the Net Cash field.
CORE TARGET Core Target T Displays the value in the Core Target field.
FBSI ACCOUNT SHORT NAME FBSI Account Short Name U Displays the Fidelity-defined short name of the account.
ACCOUNT SHORT NAME Account Short Name V Displays the user-defined short name.
LOG ACTION CODE Log Action Code W Displays the action performed on the rebalance workflow. Options are: Create, Delete, and Edit.
NODE ID Node Level X Displays the level of the node in the hierarchy.
Top

PreviewListLog.csv

Label Column Excel Column Designation Description
AUDIT ID Audit ID A Displays a system-generated ID associated with the log entry.
FIRM ID Firm ID B Displays the ID of the firm.
USER ID User ID C Displays the name of the individual who deleted the rebalance order from the Proposed Order List.
WORKFLOW ID Workflow ID D Displays the system-generated ID of the rebalance workflow.
ACCOUNT NAME Account Name E Based on the Rebalance Target, displays the Client Name, Group Name, Account Number, or Model Name.
CUSTODIAN CODE Custodian Code F Displays the custodian ID associated with the specified account.
ACCOUNT SOURCE Account Source Code G Displays a code that identifies the provider of the account information. Some of the options are: Fidelity Brokerage: Fidelity Brokerage Accounts, FPRS: Fidelity 403(b)/401(k) Accounts, NFS: National Financial Accounts, XAVNT: Advent, and BLKD: Black Diamond.
POSITION TYPE Position Type H Displays the account type in which the position resides. Options are: 1, 2, 3, 4, 5, 8, and 9.
TRADE TYPE Trade Type I Displays the trade action. Options are: B (Buy), BF (Buy Fund), C (Cash), S (Sell), and SF (Sell Fund).
SECURITY ID Security ID J Displays the ID of the security in the rebalance order deleted from the Proposed Order List
PRICE Price K Displays the price used by the system to calculate the trades for each security.
TRADE QUANTITY Trade Quantity L Displays the trade quantity in either Shares or Dollars.
ROUND TRADE QUANTITY Round Trade Quantity M Displays the rounded quantity of the security in the order deleted from the Proposed Order List.
QUANTITY TYPE Quantity Type N Displays the frame of reference for the quantities associated with the rebalance order deleted from the Proposed Order List. Options are: Shares and Dollars.
PRICE TYPE Price Type O Displays the type of quote used for securities pricing during the rebalance. Options are: Previous Day Closing, Delayed Price, or Real Time Price.
ORDER TYPE Order Type P Displays the type of order that was deleted from the Proposed Order List. Options are: Market or Limit.
TIME IN FORCE Time In Force Q Indicates how long the order is valid. The only option is D (Day).
EXCHANGE SECURITY ID Exchange Security ID R Displays the ID of the security involved in a Mutual Fund Family order.
COMMENTS Comments S Displays any notes added to the rebalance order deleted from the Proposed Order List.
TRADE QTY PCT Trade Quantity in Percent T Displays the percentage of the total account value that the trade represents.
TRADE QTY SHR Trade Quantity in Shares U Displays the share amount of the trade.
TRADE QTY DLR Trade Quantity in Dollars V Displays the dollar value of the trade.
ROUND TRADE QTY Round Trade Quantity W Indicates whether or not the quantity of the trade should be rounded. Options are: 1 (Yes) and 0 (No).
ROUND TRADE QTY TYPE Round Trade Quantity Type X Displays the frame of reference for the rounded quantities associated with the rebalance order deleted from the Proposed Order List. Options are: Shares and Dollars.
SECURITY TYPE CODE Security Type Code Y Displays the Type Code of the security attached to the order. Options are: 0, 1, 2, 3, 4, 5, 6, 7, 9, B, C, F, or P.
INIT PCT WT Initial Percent Z Displays the initial percentage of the security in the account.
ADJUSTED TARGET PCT WT Adjusted Target in Percent AA Displays the adjusted target percent based on the user-defined MCCAR and/or CTG (Cash to Generate) amounts. NOTE: See Minimum Core Cash After Rebalance for additional information.
PROPOSED PCT WT Proposed Percent AB Displays the proposed percentage of the security in the rebalance order deleted from the Proposed Order List.
SYMBOL Symbol AC Displays the symbol of the security in the rebalance order deleted from the Proposed Order List
ROUND DIFF Round Difference AD Displays the difference due to rounding between trades created by the Rebalancing system and the actual trades sent to the Orders List.
INIT SHR Initial Shares AE Displays the initial number of shares of the security in the account.
ADJUSTED TARGET SHR Adjusted Target in Shares AF Displays the adjusted target shares based on the user-defined MCCAR and/or CTG (Cash to Generate) amounts. NOTE: See Minimum Core Cash After Rebalance for additional information.
PROPOSED SHR Proposed Shares AG Displays the proposed number of shares of the security in the rebalance order deleted from the Proposed Order List.
INIT DLR Initial Dollars AH Displays the initial dollar amount of the security in the account.
ADJUSTED TARGET DLR Adjusted Target in Dollars AI Displays the adjusted target dollar amount based on the user-defined MCCAR and/or CTG (Cash to Generate) amounts. NOTE: See Minimum Core Cash After Rebalance for additional information.
PROPOSED DLR Proposed Dollars AJ Displays the proposed dollar amount of the security in the rebalance order deleted from the Proposed Order List.
ROUND TRADE QTY PCT Round Trade Quantity in Percent AK Displays the percentage of the rounded quantity of the security in the rebalance order deleted from the Proposed Order List.
ROUND TRADE QTY SHR Round Trade Quantity in Shares AL Displays the shares of the rounded quantity of the security in the rebalance order deleted from the Proposed Order List.
ROUND TRADE QTY DLR Round Trade Quantity in Dollars AM Displays the dollar amount of the rounded quantity the security in the rebalance order deleted from the Proposed Order List.
UNSENDABLE Unsendable AN Displays either Yes or No to indicate whether or not the order was Unsendable.
LOG ACTION CODE Log Action Code AO Displays the action performed on the trade. Options are: Delete Trades or Reject Partial Trades.
LOG TIME STAMP Log Timestamp AP Displays the timestamp of the rebalance order deletion from the Proposed Order List.
TARGET PCT WT Target Percent AQ Displays the target percentage of the security in the account as a result of the rebalance order deleted from the Proposed Order List.
TARGET DLR Target Dollars AR Displays the target dollar amount of the security in the account as a result of the rebalance order deleted from the Proposed Order List.
TARGET SHR Target Shares AS Displays the target number of shares of the security in the account as a result of the rebalance order deleted from the Proposed Order List.
ESTIMATED TAXABLE SHORT TERM GAIN Estimated Taxable Short Term Gain AT Displays the estimated taxable short term gain associated with the account as a result of the rebalance order. NOTE: Only populates if you are an advanced rebalancing customer.
ESTIMATED TAXABLE SHORT TERM LOSS Estimated Taxable Short Term Loss AU Displays the estimated taxable short term loss associated with the account as a result of the rebalance order. NOTE: Only populates if you are an advanced rebalancing customer.
ESTIMATED TAXABLE LONG TERM GAIN Estimated Taxable Long Term Gain AV Displays the estimated taxable long term gain associated with the account as a result of the rebalance orde. NOTE: Only populates if you are an advanced rebalancing customer.
ESTIMATED TAXABLE LONG TERM LOSS Estimated Taxable Long Term Loss AW Displays the estimated taxable long term loss associated with the account as a result of the rebalance order. NOTE: Only populates if you are an advanced rebalancing customer.
TRANSACTION DISPOSAL METHOD Disposal Method AX Displays the four character code of the cost basis disposal method for the order. Applicable to sell and sell fund orders. NOTE: Only populates if you are an advanced rebalancing customer.
EQUIVALENCE NAME Equivalence Name AY Displays the name of the equivalence.
EQUIVALENCE NODE ID Node Level AZ Displays the level of the node in the hierarchy.
RESTRICTIONS APPLIED Restrictions BA Indicates whether or not there was a restriction(s) on the account when the rebalance was performed. Options are: 1 (Yes) and 0 (No).
ASSET LOCATION RULES APPLIED Asset Location Rule BB Indicates whether or not an Asset Location Rule was applied to the order. Options are: 1 (Yes) and 0 (No). NOTE: Only populates if you are an advanced rebalancing customer.
Top

BlockOrderLog.csv

Label Column Excel Column Designation Description
BLOCK AUDIT ID Block Audit ID A Displays a system-generated number (ID) for the block used for audit purposes.
BLOCK ID Block ID B Displays a system generated number (ID) used to identify the block order so it can be matched with its allocations.
FIRM ID Firm ID C Displays the ID of the firm associated with the individual who performed the selected rebalance workflow that resulted in the creation of the block order.
USER ID User ID D Displays the name of the user who performed the rebalance workflow.
WORKFLOW ID Workflow ID E Displays a number created internally to the Modeling & Rebalancing application that references the overall rebalance workflow that resulted in the creation of the block order.
JOB ID Job ID F Displays the system-generated ID associated with the rebalance log entry.
SYMBOL Symbol G Displays the symbol of the security associated with the block order.
QUANTITY Quantity H Displays the amount or quantity of the block order.
QUANTITY TYPE Quantity Type I Specifies whether the order is in Dollars, Shares, or Full Liquidation.
ORDER ACTION Order Action J Displays the type of order. Options are: B (Buy), BF (Buy Fund), S (Sell), and SF (Sell Fund).
LOG TIME STAMP Log Timestamp K Displays the timestamp associated with the Log Action Code. Format: MM/DD/YYYY HH:MM (24 Hour Clock)
Top

AllocationLog.csv

Label Column Excel Column Designation Description
ALLOCATION AUDIT ID Allocation Audit ID A Displays the system-generated number (ID) for the allocation.
BLOCK ID Block ID B Displays a system generated number (ID) used to identify the block order so it can be matched with its allocations.
ACCOUNT_NAME Account Number C Displays the number of the account for which the allocation order was created.
ACCOUNT TYPE Account Type D Displays the type of account involved in the allocation; selections are: Cash and Margin.
QUANTITY Quantity E Displays the amount or quantity of the allocation order.
SYMBOL Symbol F Displays the symbol of the security associated with the allocation order.
FIRM_ID Firm ID G Displays the ID of the firm associated with the individual who performed the selected rebalance workflow that resulted in the creation of the allocation.
USER_ID User ID H Displays the name of the user who performed the rebalance workflow that resulted in the creation of the allocation.
WORKFLOW_ID Workflow ID I Displays a number created internally to the Modeling & Rebalancing application that references the overall rebalance workflow that resulted in the creation of the allocation.
JOB_ID Job ID J Displays the system-generated ID associated with the rebalance log entry.
BLOCK_AUDIT_ID Block Audit ID K Displays a system-generated number (ID) for the block used for audit purposes.
LOG TIME STAMP Log Timestamp L Displays the timestamp associated with the Log Action Code. Format: MM/DD/YYYY HH:MM (24 Hour Clock)
Account Source Account Source Code M Displays a code that identifies the provider of the account information. Some of the options are: Fidelity Brokerage: Fidelity Brokerage Accounts, FPRS: Fidelity 403(b)/401(k) Accounts, NFS: National Financial Accounts, XAVNT: Advent, and BLKD: Black Diamond.

871231.1.0

Top