Investors

Indicates if the investor qualifies for Regulation D Bad Actor status. Value options are &#039 Yes&#039 , &#039 No&#039 or blank.

Indicator that denotes whether the Investor was a pre-existing FATCA account. Value of &#039 true&#039 indicates pre-existing.

The collection of investor data points related to the SEC&#039 s Form Private Fund rule (Form PF) that requires private fund managers to report regulatory assets under management to the Financial Stability Oversight Council (FSOC), an organization established under Frank-Dodd.

Name of the beneficial owner on Form PF. Form PF is a report provided to the Securities and Exchange Commission (SEC) by private product managers.

Type of investor as indicated on the subscription document as it relates AIFMD or Open Protocol. A full list of AIFMD types can be obtained through the Lists API.

The collection of investor data points a Commodity Pool Operator (CPO) is obligated to report on Pool Quarterly Reports (PQR).

Capital Distributions for the period

Status of the CPO as indicated on the subscription document. Value options are &#039 Exempt&#039 , &#039 Registered&#039 or blank.

Indicates whether this Investor is a US government entity. Value options are &#039 Yes&#039 , &#039 No&#039 , &#039 N/A&#039 or blank.

Identifies the name of the government entity when the Investor is an entity substantially owned by a government entity (e.g., a single investor vehicle) and the investment decisions of such entity are made or directed by such government entity.

Indicator that denotes whether the investor is  a bank holding company. A bank holding company is a company that controls one or more banks, but does not necessarily engage in banking itself.

Identifies the type of GL Account as: Assets, Liabilities, Capital, Revenue, Expenses, Tax, Financial Top Side

The reporting period with valid values Daily, Weekly, Monthly and Quarterly. This mandatory query parameter is used only in a request to retrieve a limited set of positions data.

Code which uniquely identifies an individual or entity.

Group of calendar dates associated with an investor pending transaction

Unique business identifier that represents a contact, investor, product, transaction or alternate entity recognized by SEI and a third party system or application.  Many times the externalId is used to synchronize SEI sourced data with another data source for the same record.

This parameter identifies the category of the Funds the data is being requested for. Valid value for this is 'OEF 'which is short for Open Ended Funds

Designates whether an investor is a qualified purchaser or not. A full list of qualified purchaser types can be obtained through the Lists API.

Tracks the number of slots that a particular investor takes up. Default value is 1.

Identifies the country the subscription document was signed in ISO 3166-1 alpha-2 code format.

Unique business identifier for a group of investors. An investor can belong to only 1 master group.

Identifies whether the investor is a US investor or not. A full list of investor types can be obtained through the Lists API.

An investor may have an abbreviated name used on investor communications.

A physical address for the entity in the context of the API product. This could be an investor or a contact. The address object structure will look similar to: Field type attention1 attention2 addressLine1 addressLine2 addressLine3 addressLine4 city stateCode postalCode countryIsoCode  

The first attention line of the address, typically used for a specific recipient.

The first line of the address, typically used for the street address.

The third line of the address.

The city of the address.

The postal code of the address.

Personally identifiable information (PII) is any data that could potentially identify a specific individual. Any information that can be used to distinguish one person from another and can be used for de-anonymizing data can be considered PII.

Secondary social security number or tax identification number for an investor provided on tax form and/or subscription document.

Date of birth or date of formation in the format MM/DD/YYYY.

The collection of investor level data points specific to tax information for the investor.

Investor&#039 s subscriber type as indicated on the subscription document. A full list of subscriber types can be obtained through the Lists API.

Identifies the legal form of the investor. A full list of values can be obtained through the Lists API.

Identifies the domicile country in ISO 3166-1 alpha-2 code format.

The country and/or state specific to the primary location where business is performed. This is generally where the investor&#039 s books and records are kept and usually where the investor is located for tax reporting purposes.

Indicates whether the investor is employee eligible.

Indicates whether the investor is a general partner.

Indicates whether the investor is partner eligible.

Date on which the account was frozen. Format yyyy-MM-ddTHH:mm:ss.SSS. Datetime is Eastern Standard Time (EST).

The collection of investor data points related to Financial Industry Regulatory Authority (FINRA) reporting for Rules 5130 and 5131.

Investor&#039 s Percentage of beneficial Interest in regard to FINRA 5130. FINRA rule 5130 prohibits FINRA members from selling new issues to any account in which “restricted persons” have a beneficial interest. 

Conditionally required field when the FINRA_5131 flag is enabled.

FINRA 5130/5131 exempted entity status. Value options are: &#039 Yes&#039 , &#039 No&#039 , &#039 N/A&#039 or blank.

Identifies the Type of Benefit Plan Investor in terms of &#039 yes&#039 or &#039 no&#039 if the investor is defined as &quot An employee benefit plan subject to the provisions of Title I of the Employee Retirement Income Security Act of 1974, as amended (generally retirement plans of U.S. private employers).&quot

The collection of investor level data points specific to pooled fund investments captured for AML purposes.

Determines the value of the pooled investment fund as a percentage.

The collection of investor level data points related to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) compliance reporting needs.

Indicator that denotes whether the Investor is a commodity trading advisor.

Description that denotes when the investor is something other than a commodity pool operator or commodity trading advisor.

With regards to CFTC, indicates the investor has total assets in excess of $5,000,000 and was not formed for the specific purpose of acquiring the securities offered.

CFTC Rule 4.7 Classification: Relies upon an exemption from registration under CFTC Rule 4.13 (e.g., the 4.13(a)(3) &quot de minimis exemption&quot ) and has filed a notice claiming this exemption with the NFA.

CFTC Rule 4.7 Classification: Relies upon the exclusion under CFTC Rule 4.5 and has filed a notice claiming this exclusion with the NFA.* (For example, registered investment companies may rely upon this exclusion.).

CFTC Rule 4.7 Classification: Is a &quot family office&quot , relies upon CFTC No-Action Letter 12-37, and has submitted a claim for no-action relief to the CFTC.

CFTC Rule 4.7 Classification: Is a charitable foundation and its operator is not required to register as a commodity pool operator.

Provides additional detail when &quot Other Exemption&quot is true.

The collection of data points when the investor is an insurance company.

When the investor is an insurance company, identifies the status of the insurance company&#039 s assets where none of the underlying assets of the investor&#039 s general account constitutes &quot plan assets&quot within the meaning of Section 401(c) of ERISA.&quot

When the investor is an insurance company, identifies percent of &quot plan assets&quot where a portion of the underlying assets of the investor&#039 s general account constitute &quot plan assets.&quot

When a placement agent was used, this is the placement agent&#039 s name.

Indicates if investor is a registered fund. Value options are &#039 Yes&#039 , &#039 No&#039 or blank.