Author: Alex Melas

Records can be found using the Search Bar and Filters on the CRM Records Page.

The Search Bar

1. Click CRM in the left navigation menu.
2. You will see the search bar in the top left of the page

Main Filters

There are three main filter options on the CRM Records page.

1. Association: This filters the records by association. Multiple associations can be selected at one time.
2. Status: This filters the records by status. Only one status can be selected at a time. 
3. Last Modified Date: This calendar dropdown filters records by the date they were last modified.
   1. Selecting one date will show all records modified on and after that date.
   2. Selecting multiple dates will show all records modified on and within those dates.

Advanced Filters

In Advanced Search, records can be searched for by TIN, GIIN, and/or address. The list of archived records can be accessed by clicking ‘Archived Records’.

An Investor’s folder access for an Investing Entity can be limited to a specific time period using Active Through Dates. If dates are set for one of the Investor’s folders, then only documents with a Document Date inside the date set of that folder will be accessible by the Investor’s contacts.

Steps

1. Navigate to an Investor’s edit page. Review the article How to Edit a Record for more information.
2. In the Investor Section, find the Investing Entity for which the Investor’s document access should be limited. 
3. Click ‘Limit Folder Access’
4. From the dropdown, select which Folder should be limited.
   1. If only a Start Date is entered, the Investor will have access to all documents with a document date of the specified date and after.
   2. If only an End Date is entered, the Investor will have access to all documents with a document date before or on the specified date. 
   3. If both a Start Date and End Date are entered, the Investor will have access to documents with a document date on or within the specified dates.
5. The active through dates will automatically be applied to all of the Investor’s contacts for that particular Investing Entity and folder.
6. To add additional limited folder access, click ‘Limit Folder Access’.
7. Submit the record for review. Once approved, the contact’s folder access will be updated.

Note: The limited access indicated in the Communication grid is not published until after the record is approved.

The Communication grid is used to give a contact access to an Investor’s documents. Access can be given through the Investor’s or the Contact’s Communication grid. Changes to the Communication Grid are not active until the changes have been approved.

Contact Record

1. Create a new Contact record or navigate to the edit screen of an existing Contact.
   • If creating a new Contact, satisfy all of the required fields.
2. Navigate to the Contact section.
3. Click Add Investor.
4. Select the Investing Entity with which the Investor is associated.
5. Select the Investor.
6. Click Add.
7. A row with the Investor and Investing Entity Names will appear.
8. To grant a Contact access to all folders for the Investor/Investing Entity pair, click Grant All Access. A check mark will appear in each cell, indicating that the contact has access to each folder.
9. To remove all folder access for the Investor/Investing Entity pair, click Remove All Access. The check marks will be removed from each cell, indicating that the contact does not have access to each folder. 
10. To give a Contact access to individual folders, click the cell in the corresponding folder row. A check mark will appear, indicating that the contact has access to the folder. 
11. To remove access from individual folders, click the cell in the corresponding folder row. The check mark will be removed, indicating that the contact does not have access to the folder. 
12. To add additional Investors, click Add Investor +.
13. Submit the record for review. Once approved, the contact will be given access to the Investor’s folders.

Investor Record

1. Create a new Investor record or navigate to the edit screen of an existing Investor.
   1. If creating a new Investor, satisfy all of the required fields.
2. Navigate to the Investor section.
3. Click Add Contact.
4. Select the Investing Entity of which the Contact should be added.
5. Select the specific Contact.
6. Click Add.
7. A row with the Contact and Investing Entity names will appear.
8. To give a Contact access to all folders for the Investor/Investing Entity pair, click Grant All Access. A check mark will appear in each cell, indicating that the contact has access to each folder.
9. To remove all folder access for the Investor/Investing Entity pair, click Remove All Access. The check marks will be removed from each cell, indicating that the contact does not have access to each folder. 
10. To give a Contact access to individual folders, click the cell in the corresponding folder row. A check mark will appear, indicating that this contact has access to the folder. 
11. To remove access from individual folders, click the cell in the corresponding folder row. The check mark will be removed, indicating that the contact does not have access to the folder. 
12. To add additional Contacts, click Add Contact.
13. Submit the record for review. Once approved, the contact will be given access to the Investor’s folders.

Wire Instructions can be specified for an Investor and assigned to the Investor’s investments. Wire Instructions can be added when an Investor record is first created or at any time on the edit page.

Steps

1. Navigate to the edit page of a new or existing Investor.
   1. If creating a new Investor, satisfy all of the required fields.
2. In the Wire Instructions section, click ‘Add Wire Instructions’.
3. Enter in values for the following fields
   1. Beneficiary Bank ABA # / Swift (9 digits)
   2. Beneficiary Bank Name
   3. Beneficiary Account # / IBAN
   4. Beneficiary Account Name
4. Complete any additional fields if desired.
5. Additional sets can be added by clicking ‘Add Additional Wire Instructions’.
   1. Wire Instruction sets can be removed by clicking the red X to the right of the set title.
6. To assign Wire Instructions to one or more of the Investor’s investments, scroll to the Investor section.
7. Locate the Investing Entity to which the Wire Instructions are to be assigned to.
8. In the Wire Instructions dropdown, select the intended set. The last four digits of the Beneficiary Account # / IBAN for each entered set will be displayed in the dropdown.
9. Submit the record for review.
10. During review, the Wire Instructions will be listed in the What Changed panel.
11. To view the Wire Instructions, click the entry in the What Changed panel. The Wire Instructions will open in a new tab.
12. After reviewing the set(s), close the tab and either approve or reject the record.

Where will Wire Instructions be Displayed?

If the Wire Instructions are not assigned to one of the Investor’s investments, the Wire Instructions will only be visible on the Investor record’s edit screen.

If the Wire Instructions are assigned to one of the Investor’s investments, the Wire Instructions will be displayed in the Investing Entity Table on the Investor Record view page. Clicking on the down arrow next to the Beneficiary Account # / IBAN will expose all of the Wire Instruction fields.

When a record is archived, the record is removed from the main CRM Records page and its details are no longer visible. Only records that are not associated with any other record can be archived. In order for a record to be archived, it must be submitted for review and the archive request approved. A list of archived records can be found in the CRM by clicking ‘Advanced Search’ and toggling to ‘Archived Records’.

1. Find the record to be archived.
2. Request the record to be archived.
3. A reviewer must approve the record request.

There are two ways to trigger an archive request: on the CRM records page, and on the page of the record itself.

On the CRM Records Page

1. Navigate to the CRM Records page:
   • Click CRM in the left nav menu.
   • Click View All in the CRM Records pane on the home page.
2. Use the search bar or filters to find the record in need of archiving.
3. At the end of the record’s row, click the three line menu icon.
4. Click ‘Archive’.
5. Add a comment if desired. This comment will be viewable in the Support/Comments section of the record.
6. To submit the record to the default reviewer, click ‘Submit for Review’.
7. To submit the record to a specific reviewer, click ‘Specify Reviewer’ and select the desired reviewer from the dropdown. Click ‘Submit for Review.
8. The Reviewer will be notified by email that this record needs his/her attention.
9. The record will retain its current status but receive an “Archive Requested” flag.
10. A reviewer will review the record.
11. If rejected, the record will not be archived.
12. If approved, the record will be archived.

On the Record’s View Page

1. Navigate to the CRM Records page:
   • Click CRM in the left nav menu.
   • Click View All in the CRM Records pane on the home page.
2. Use the search bar or filters to find the record in need of archiving.
3. Open the record by clicking on the record name.
4. In the top right corner, click ‘More’.
5. In the dropdown menu, click ‘Archive’.
6. Add a comment if desired. This comment will be viewable in the Support/Comments section of the record.
7. To submit the record to the default reviewer, click ‘Submit for Review’.
8. To submit the record to a specific reviewer, click ‘Specify Reviewer’ and select the desired reviewer from the dropdown. Click ‘Submit for Review.
9. The Reviewer will be notified by email that this record needs his/her attention.
10. The record will retain its current status but receive an “Archive Requested” flag.
11. A reviewer will review the record.
12. If rejected, the record will not be archived.
13. If approved, the record will be archived.

Any existing record can be edited and submitted for review.

Steps

1. Navigate to the CRM Records page:
   • Click CRM in the left nav menu, or
   • Click View All in the CRM Records tile on the Home page.
2. Use the search bar or filters to find the record in need of editing.
3. To open the edit screen, do one of the following:
   1. At the end of the record’s row, click the three lines icon.
      1. Click ‘Edit’ and the Edit page will open.
   2. Open the record by clicking on the record name.
      1. Click ‘Edit’ in the right corner.
4. Update the intended information.
5. Click the green ‘Submit’ button.
6. Add a comment if desired. This comment will be viewable in the Support/Comments section of the record.
7. To submit the record to the default reviewer, click ‘Submit for Review’.
8. To submit the record to a specific reviewer, click ‘Specify Reviewer’ and select the desired reviewer from the dropdown. Click ‘Submit for Review.
9. The Reviewer will be notified by email that this record needs his/her attention.
10. The record will receive a Pending Review status and will be found on the CRM Records page.

Approved changes will show on any forms created after the approval, but forms created prior to the changes going into effect do not automatically update. New forms can be created that reflect any recent changes.

In order for a record to be published, it must be reviewed and approved. In addition, every change made to a record must be reviewed and approved. Reviewers can review any records they did not create or edit and Admins can review all records.

Steps

1. In order to review a record, the record must have a Pending Review status. To find all records that have a Pending Review status:
   1. Click the ‘View’ button in the Pending Review tile of the CRM section on the Workflow Dashboard.
   2. Navigate to the CRM Records page and in the Status filter dropdown, click ‘Pending Review’.
2. Once on the Pending Review page, search or scroll to find the specific record in need of review. 
3. At the end of the record’s row, click the three lines icon.
4. Click ‘Review’ and the Review page will open.
5. Scroll up and down the left panel to view the record’s information.
6. For records that have a Communication Grid, clicking the arrow icon at the top right of the review panel will expand the grid.
7. For Investor records that have Wire Instructions, clicking on the Wire Instructions in the What Changed panel will open the their details in a new tab.
8. Anytime after a record has been approved for the first time, once edited, the fields that have been changed will be listed in the What Changed panel.
9. Clicking ‘Support/Comments’ will display all of the comments and documents added to this record.
10. Clicking ‘Details’ will once again display the record details.
11. To reject the record, click ‘Reject’.
    1. Enter a reason for the rejection.
    2. Click ’Confirm’.
    3. The preparer will be notified and the record will receive a Rejected status and be found on the CRM Records page.
    4. Any Communication Grid access will not be published.
12. To Approve the record, click ‘Approve’.
    1. The preparer will be notified and the record will receive an Approved status and be found on the CRM Records page.
    2. Any Communication Grid access will be published.

Before a record is submitted for review, it can be saved as a draft and returned to later. Records can only be drafted before the record is submitted for review; after the initial submission for review, the record must be submitted for review again in order for a change to be saved.

Steps

1. On the left navigation menu click the ‘CRM’ tab.
2. Click the ‘Create Record +’ button in the top right.
3. Select a record association.
4. Satisfy the required fields for the association.
5. In the right corner, click ‘Save as Draft’.
6. Click ‘Confirm’.
7. The record will be saved as a Draft and can be found on the CRM Records page.

Any user other than a Contact can create association-based CRM records.

Accessing the Create Record Page

• From the dashboard, click the + button in the CRM Records section.
• In the left sidebar, click CRM to access the CRM Records page. Then, click Add Record in the top right corner, then Create Record.

General Record Creation Steps

• The basic steps for creating CRM records are the same across different associations.
• If you are creating a record with any association other than an Investment Advisor, or a record that contains multiple associations, additional information is required. (See the Association-Specific Requirements section for more information.)

For each new record:

1. Select which role the record is associated with (e.g., Investment Advisor, Investing Entity, Investor, or Contact) in the Associations section. For records with multiple associations, choose up to two. Valid combinations are: 
   • Investment Advisor and Investor
   • Investing Entity and Investor
   • Investor and Contact
2. Complete the Basic Information section. A Name is required while other fields are optional.
3. Complete other required fields (see the Association-Specific Requirements section for more details).
4. Add optional details as needed, such as:
   • Comments or supporting documents in the Support/Comments section.
   • Additional fields specific to the record type (see below).
5. Click Submit to save the record.
6. Add a comment if desired.
7. Submit the record:
   • To the default reviewer: Click Submit for Review.
   • To a specific reviewer: Click Specify Reviewer, choose a reviewer, then click Submit for Review.
8. The reviewer will receive an email notification, and the record will have a Pending Review status visible on the CRM Records page.

Association-Specific Requirements

Some roles require additional information when records are being created.

Investment Advisor

• No additional fields required.

Investing Entity

• Select the Investment Advisor this entity belongs to.
• Enter a unique Bulk Upload Code of your choosing (avoid using underscores).
• Specify a Functional Currency, if needed.

Investor

• Select the Investing Entity this investor is associated with.
• Enter a unique Bulk Upload Code of your choosing (avoid using underscores).
• Optional fields:
  • Add Wire Instructions.
  • Add Authorized Signatories. (These are contacts with designated privileges for the investor outside of GPportal.)
  • Add a Commitment (also known as a Subscription).
  • Add an Investing Entity by clicking Add Additional Investing Entity.
  • Add Contacts (users who will access the investor portal and view the investor’s documents):
    1. Click Add Contact.
    2. Select which documents to grant access to.
    3. Click Add.
  • To grant portal access:
    • Click Add Contact.
    • Specify the Investing Entity and folders this contact can access. 
    • Click Add.

Contact

• Enter the contact’s name and email address.
• Assign investors this contact should access:
  1. Click Add Investor.
  2. Select the relevant Investing Entity and Investor.
  3. Specify folder access for the Investor.