obtaining client lists by fund on the old mutual … · 2019-10-10 · obtaining client lists by...

OBTAINING CLIENT LISTS BY FUND ON THE OLD MUTUAL WEALTH PLATFORMUSER GUIDE

This guide explains how to view and download a list of clients invested in a fund.

OBTAINING CLIENT LISTS BY FUND ON THE OLD MUTUAL WEALTH PLATFORM USER GUIDE

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1 Contents

2 Introduction

3 PART 1 VIEW A CLIENT LIST

4 Starting from the homepage

5 Search by fund/selecting the investment range

6 Search for/view the fund

7 Select the fund

8 Select the fund continued

9 Select the charge basis/final client list

10 PART 2 DOWNLOAD A CLIENT LIST

11 Starting from the homepage

12 Request a data download report

13 Select the account/clients

14 Email confirmation

15 Access the completed report

16 Filtering the report

17 Filtering the report continued

18 The final report

19 The final report continued

CONTENTS


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This user guide will take you through the process of how to find a list of clients invested in a single fund on the Old Mutual Wealth Platform.

The guide is split into two parts:

PART 1 provides a guide on how to locate a list of clients invested in a fund on the Old Mutual Wealth Platform via the switch by fund process. Please be aware that you will not be able to download this list; you will be able to view a list of clients invested in a fund, and you will be able to copy and paste this list into another document.

PART 2 provides a guide on how to download a list of clients invested in a fund on the Old Mutual Platform via the data download service. This will allow you to download a list of clients invested into Excel spreadsheet format.

INTRODUCTION


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PART 1 – VIEW A CLIENT LIST

A GUIDE ON HOW TO VIEW A LIST OF CLIENTS INVESTED IN A FUND ON THE OLD MUTUAL WEALTH PLATFORM


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VIEW A CLIENT LIST(STARTING FROM THE HOMEPAGE)

1. From your homepage, select the ‘Funds’ tab.

2. From your ‘Funds actions’ menu, select ‘Switch/redirect’.

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VIEW A CLIENT LIST(SEARCH BY FUND/SELECTING THE INVESTMENT RANGE)

1. Select ‘Yes’ in the ‘Authority to switch/redirect’ section.

2. Select ‘Switch by funds’.

3. Select the investment range that the fund is in.

4. Select ‘Next’ to continue.

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VIEW A CLIENT LIST(SEARCH FOR/VIEW THE FUND)

Please note: The number of funds listed will be dependent on the level of access granted on your online account.

1. Use the search bar and select ‘Search’ to locate the fund.

2. Or view a list of all the funds your clients are invested in for the selected investment range, select ‘View all invested funds’

3. If you view all invested funds, you can filter your search by fund type, manager or sector. Select ‘Apply’ to add a filter.

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VIEW A CLIENT LIST(SELECT THE FUND)

1. Use the ‘Select’ button next to the fund to choose the fund.

2. The fund will appear in the ‘Selected funds to sell’ table.

3. Select ‘Remove’ to remove the fund from the ‘Selected funds to sell’ table and select another fund if required.

4. When finished, select ‘Go to percentage to sell’.

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VIEW A CLIENT LIST(SELECT THE FUND CONTINUED)

Please note that this process will not action a fund switch for any fund or client selected. This process is to view a list of clients invested in a fund only.

1. Input any percentage figure in the ‘Sell percentage’ box. You need to input a percentage figure to continue to the final step of the process.

2. Select ‘Go to confirm accounts’ to continue.

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VIEW A CLIENT LIST(SELECT CHARGE BASIS/ FINAL CLIENT LIST)

Accounts invested in the fund selected may be split into separate groups based on their charge basis* and will be displayed at the top of the page. If you are obtaining a list of clients invested in a WealthSelect fund, only accounts under Charge Basis 3 will be returned.

1. Select each charge basis that contains accounts to automatically populate a list of accounts invested in the selected fund.

2. The client’s name, client reference number and account number will be listed.

Important: This will provide a list of all the clients invested in the selected fund only. This list is not available to download.* Please go to http://www.oldmutualwealth.co.uk/Adviser/

adviser-support/to-RDR-and-beyond/three-charge-bases/ for full information about the different charge bases an account could be on.

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VIEW A CLIENT LIST(FINAL CLIENT LIST CONTINUED)

1. You can print this page by selecting file and then print within your web browser.

2. You can also copy and paste the table of information into a document of your choice.

Please note: the information may spread across several pages depending on the number of clients you have. You will need to print or copy each individual page.

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PART 2 – DOWNLOAD A CLIENT LIST

A GUIDE ON HOW TO DOWNLOAD A LIST OF CLIENTS INVESTED IN A FUND ON THE OLD MUTUAL WEALTH PLATFORM


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DOWNLOAD A CLIENT LIST(STARTING FROM THE HOMEPAGE)

1. From your homepage, select the ‘Clients’ tab.

2. Select ‘Download client data’ from the ‘Client actions’ menu.

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DOWNLOAD A CLIENT LIST(REQUEST A DATA DOWNLOAD REPORT)

1.Now on the Data download request screen, select ‘All products’ or an individual product type from the drop down menu.

Please note: Selecting an individual product type will only allow you to locate clients invested in the fund across that one product type.

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DOWNLOAD A CLIENT LIST(SELECT THE ACCOUNT/CLIENTS)

If you have master user or delegated customer access on your online account, you will be able to select more than one adviser’s accounts/clients. Users with registered customer access will only be able to view their own accounts/clients, and will have no other advisers listed. If you have no other advisers listed, go to step 2 on this page.

1. Select all the advisers’ accounts using ‘Select all’ or select individual adviser’s accounts/clients using the individual tick boxes.

2. Complete the request by selecting ‘Send’.

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DOWNLOAD A CLIENT LIST(EMAIL CONFIRMATION)

We will email you when the data download request is ready for you to view.

1. The email address that the download confirmation will be sent to is displayed.

2. You can input an alternative email address for the confirmation to be sent to using the box provided.

3. When finished, select ‘Submit’.

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DOWNLOAD A CLIENT LIST(ACCESS THE COMPLETED REPORT)

After receipt of the confirmation email, the report is available at the bottom of the Data download request screen. This is the same screen that the report was requested from.

1. The ‘Ready’ status will be displayed next to the report to confirm it’s ready to view.

2. The expiry date of the report is displayed.

3. Select the link to open and save the report.

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DOWNLOAD A CLIENT LIST(FILTERING THE REPORT)

The report begins by displaying the investment range the funds are in, account type and the individual client details. Scrolling along the report will show the account number, account valuation and each individual fund invested in each account.

1. Select the entire excel spreadsheet by clicking the square in the top left hand corner.

2. To add a filter to each column of the spreadsheet, select the ‘Data’ tab and then the ‘Filter’ option.

Please note: You can adjust the column widths and remove any columns that you do not require from within the spreadsheet.

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DOWNLOAD A CLIENT LIST(FILTERING THE REPORT CONTINUED)

Important: There will be more than one column which contains fund names in the report, so this process will be repeated for each column containing fund names.1. Filters will now be applied to each

column in the report. 2. Select the filter arrow on the first

fund name column and deselect the ‘(Select All)’ option from the drop down menu.

3. Select the tick box next to the fund name you want to locate.

4. Select ‘OK’.

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DOWNLOAD A CLIENT LIST(THE FINAL REPORT)

1. You will now have a filtered client list, showing clients invested in that one fund.

2. After completing this process you can copy and paste the clients’ names and account numbers into another spreadsheet for your records.

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DOWNLOAD A CLIENT LIST(THE FINAL REPORT CONTINUED)

1. Select the filter arrow on the first fund name column again, select the ‘(Select All)’ option and ‘OK’ from the drop down menu to populate the full client again.

You will now need to select each filter arrow on each remaining column containing fund names in the spreadsheet and repeat the process detailed on the previous and current page of this guide. Select the same fund name in each column until you have a full list of clients invested in that fund.

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SK11072/219-1182/September 2019

www.oldmutualwealth.co.uk

Calls may be monitored and recorded for training purposes and to avoid misunderstandings.

Old Mutual Wealth is the trading name of Old Mutual Wealth Limited which provides an Individual Savings Account (ISA) and Collective Investment Account (CIA) and Old Mutual Wealth Life & Pensions Limited which provides a Collective Retirement Account (CRA) and Collective Investment Bond (CIB).

Old Mutual Wealth Limited and Old Mutual Wealth Life & Pensions Limited are registered in England and Wales under numbers 1680071 and 4163431 respectively. Registered Office at Old Mutual House, Portland Terrace, Southampton SO14 7EJ, United Kingdom. Old Mutual Wealth Limited is authorised and regulated by the Financial Conduct Authority. Old Mutual Wealth Life & Pensions Limited is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. Their Financial Services register numbers are 165359 and 207977 respectively. VAT number 386 1301 59.

obtaining client lists by fund on the old mutual … · 2019-10-10 · obtaining client lists by...

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