Take Control of Client Portfolio Oversight

With Rules, you can define conditions tailored to your business needs—whether it’s portfolio thresholds, asset allocation limits, or transactions. Alerts notify you instantly when these conditions are met, allowing you to take swift action to protect client investments and maintain compliance.

This guide walks you through how to leverage Rules and Alerts to automate portfolio oversight and ensure seamless client service.

‍

Setting Up Rules

The first step in automating your portfolio monitoring is to define rules that align with your risk framework and investment strategy. These rules act as guardrails, ensuring that portfolios stay within set parameters.

Creating Model Portfolios

Since allocation rules are tied to specific model portfolios, it’s recommended to set these up first:

1. Log into the Advisor Portal on the Performativ platform.
2. Navigate to Rules in the left-hand menu.
3. Click on Model Portfolios at the top of the screen.
4. If not already created, add a Model Portfolio and define its asset composition (e.g., stocks, bonds, private equity) and allocation percentages.

‍

Defining Rule Parameters

Once model portfolios are in place, you can define rule parameters based on specific metrics and investment criteria. Navigate to Rule Definitions at the top of the screen and follow these steps:

1. Name the Rule for easy identification.
2. Select a Rule Type, choosing from:
   1. Metric-based rules (e.g., value changes, drawdowns, exposure limits)
   2. Asset allocation rules (the % each asset class in the portfolio is allowed to deviate from the model portfolio)
   3. Transaction rules (cash movements or security transactions)
   4. Client relationship rules (birthday notifications)
3. Configure the rule details:
   1. Define key metrics (e.g., time-weighted returns, maximum drawdown, MiFID depreciation thresholds).
   2. Set time periods (rolling or relative) and intervals (day, month, year).
   3. Establish thresholds (<, >, =).
   4. Assign a severity level (Low, Medium, High, Urgent).
   5. Add tags to categorize and filter rules efficiently.
4. Click Add to finalize the rule.

‍

Combining Rules into Rule Sets

If you need to enforce multiple conditions simultaneously, you can combine individual rules into Rule Sets:

1. Navigate to Rule Set Definitions.
2. Click + Add, then name the rule set.
3. Select the individual rules to include.
4. Click Add to save the configuration.

‍

Assigning Rules to Targets

Now that your rules are established, define where they apply:

1. Go to Rule Coverage and click + Add.
2. Choose a Target Type (Portfolio, Cash Account, Client, or People).
3. Select whether the rule applies to an individual entity or a segment.
4. Choose Single Rule or Set of Rules and assign the relevant rules.
5. Click Add to activate the coverage.

At this point, your rules are fully operational, and the system will continuously monitor compliance in the background.

‍

Managing Alerts

Performativ automatically scans portfolios daily to identify rule breaches and trigger alerts, ensuring you stay informed of critical changes.

Navigating Alerts

To monitor and manage alerts:

1. Click Alerts in the left-hand menu.
2. Use filters to refine alerts based on severity, type, client, cash account, portfolio, or instrument.
3. Click on an alert to review details and decide on next steps:
   1. Resolve the alert (if the issue has been addressed).
   2. Suppress the alert (if action is not required at this time).

View Suppressed Alerts by clicking on Suppressed Types at the top of the screen, where you can reinstate alerts if needed.

‍

Leveraging the Audit Log for Compliance

A comprehensive Audit Log tracks all alerts and platform activities, providing a transparent record for internal governance and regulatory compliance.

1. Navigate to Audit Log to view past alerts and user actions.
2. Apply filters by User, Type, Subject, Date, or Event to quickly retrieve relevant data.
3. The log remains immutable, ensuring accurate reporting for compliance audits.

‍

Gain Full Control Over Portfolio Monitoring

With the Rules and Alerts features, you can automate portfolio oversight, ensuring real-time visibility into risk exposure, compliance breaches, and portfolio drift. This enables wealth managers to focus on proactive decision-making rather than manual monitoring.

Ready to enhance your portfolio monitoring capabilities? Log in to your Advisor Portal now or book a demo to understand how the Performativ platform can benefit your business.