Use this checklist when a client has stock options, RSUs, restricted stock, ESPP shares, or other company equity and you need enough detail to model the position in Gemifi.
For each company equity portal, collect the documents that show what the client owns today, what has already happened, and what is scheduled to vest in the future. When possible, download the files directly from the portal instead of relying on screenshots.
While reading this article, please keep in mind that broker/custodian portals change their interfaces all the time. If you see an interface update that isn't reflected here, please email [email protected] and we'll address it.
What to collect
Most portals organize the same information under different names. The goal is to collect three categories of records:
Current holdings or awards. This should show outstanding options, RSUs, restricted stock, shares held, grant dates, grant types, quantities, vesting status, and exercise prices when applicable.
Transactions, sales, exercises, and vest confirmations. This should show option exercises, RSU releases, share sales, proceeds, cost basis details when available, and tax withholding.
Future vesting. This should show upcoming vest dates and quantities by grant or award.
CSV or XLS files are best when the portal offers them. PDF statements are fine when exports are not available. If a client has equity at more than one company, repeat this process for each portal.
Before asking the client
Ask the client which equity portals they use. Common portals include E*TRADE, Morgan Stanley at Work, Shareworks/Solium, UBS, Fidelity, and Carta.
Ask them to download reports inside the portal and share them through your approved secure file-sharing process.
Do not ask clients to share portal passwords or one-time login codes.
If the client cannot find a report, collect what they can and use a follow-up meeting to fill the gaps.
E*TRADE stock plan accounts
Have the client log in to E*TRADE and open the Stock Plan Account. This is separate from an individual brokerage account.
Go to My Account and then Gains & Losses.
For a new client, download the Expanded Gain & Loss report for all available tax years.
For an existing client update, download the Expanded Gain & Loss report for the current tax year.
Open the Holdings tab and download the expanded holdings reports by type and by status.
Go to My Account and then Orders.
Download exercise confirmations and RSU vest confirmations when available.
Exercise confirmations and vest confirmations are especially useful because they may show tax withholding that is not visible in a basic holdings view.
Shareworks or Solium
Have the client log in to Shareworks or Solium and open the stock plan account.
Go to Activity and then Reports.
Run a Statement of Account report for all available history.
Choose PDF format if that is the only option, or use CSV/XLS if the portal offers a structured export.
Download any separate vesting schedule, holdings, transaction, or tax documents available in the account.
UBS
Have the client log in to UBS and open the stock plan account or equity awards area.
Open Holdings or Equity Awards.
Download a future vesting report.
Download an account report.
Download the most recent monthly statement.
Look for separate transaction confirmations if the client exercised options, vested RSUs, or sold shares.
Fidelity
Have the client log in to Fidelity and open the stock plan or workplace account tied to company equity.
Go to Accounts & Trade and then Statements.
Download the most recent statement.
Download trade confirmations.
Download any available future vesting, award, or grant reports.
If the client has sold shares, download the sale confirmation and any available tax or cost basis report.
Morgan Stanley at Work
Have the client log in to Morgan Stanley at Work or StockPlan Connect.
Open the stock plan account.
Go to Activity, then Reports.
Run a report for all available history.
Download the report in PDF format if no spreadsheet export is available.
Download separate holding, vesting, exercise, and sale confirmation reports when the portal offers them.
Carta
If the client equity is recorded in Carta, the cleanest workflow is usually advisor access instead of client-downloaded reports. Ask the client to invite the advisor or firm user designated by your team.
The client should log in to Carta.
They should navigate to Account, then People, then choose Add user.
They should enter the advisor's name, email address, and role details.
They should send the invite and notify your team when access is granted.
Advisor access can expose sensitive information, including securities, bank details, account summaries, tax forms, and personal identifying information. The client should only grant access to a trusted advisor and should use the least-permissive access level Carta allows.
When the client cannot find everything
Do not block the workflow if a portal is hard to navigate. Collect the best available holdings report, transaction report, and vesting schedule, then document what is missing. Common missing items include tax withholding on RSU vests, exercise confirmations, historical grants from a previous employer, and sale confirmations.
If the documents are incomplete, ask for a follow-up portal walkthrough with the client. A short screen-share often resolves portal-specific gaps faster than a long email thread.
Quality check before importing into Gemifi
Confirm the client's company name and ticker, if public.
Confirm each grant type: ISO, NSO, RSU, restricted stock, ESPP, or shares held.
Confirm grant dates, vesting dates, share quantities, and exercise prices when applicable.
Confirm exercises, releases, sales, proceeds, and tax withholding for historical transactions.
Keep a note of any assumptions or missing reports before using the data for client-facing analysis.
This article is only a document-collection guide. It is not tax, legal, or investment advice.