Data File Specifications v3.0
Overview
Goldman Sachs Advisor Solutions (“GSAS”) provides a standardized series of data files that contain relevant account, transaction, position, and security information for third-party integrations. The following document provides details on delivery, conventions, and detailed descriptions of each file supported.
File Naming Convention
GSAS uses a consistent file naming convention. File names are constructed as follows: FNMMDDYY.Extension
| Prefix | MM | DD | YY | . | Extension |
|---|---|---|---|---|---|
| FN | 2-digit month | 2-digit day | 2-digit year | . | file extension identifier |
Example: Account file for March 17, 2022, will be named FN031722.ID1
| Prefix | MM | DD | YY | . | Extension |
|---|---|---|---|---|---|
| FN | 03 | 17 | 22 | . | ID1 |
info
Note
Dates contained within a file are independent from the date in the file name. For example, it is possible to have a security price for 12/31/21 in the file FN031722.MV1.
File Types Available
| Type | Extension | Description | Example |
|---|---|---|---|
| Account | ID1 | Client Demographic Information | FNMMDDYY.ID1 |
| Position | PS1 | Record of open positions | FNMMDDYY.PS1 |
| Price | MV1 | Security prices of open positions | FNMMDDYY.MV1 |
| Security | SE1 | Security information of open positions | FNMMDDYY.SE1 |
| Transaction | TR1 | Record of transactions | FNMMDDYY.TR1 |
| Tax Lot | TL1 | Account level tax lots and adjusted cost | FNMMDDYY.TL1 |
| Closed Lot | HS1 | YTD record of closed positions | FNMMDDYY.HS1 |
| Alts Capital Commitment | CC1 | Details of capital commitments | FNMMDDYY.CC1 |
| Alts Security | AS1 | Security details for alternatives | FNMMDDYY.AS1 |
| Household | HH1 | Household details | FNMMDDYY.HH1 |
File Setup
Files are tab delimited and our recommendation is to leverage the delimiters for parsing purposes. Files can be configured to return no values based on the PII level defined below
| PII Level | Tax ID | Home/Work Phone | DOB | Address | |
|---|---|---|---|---|---|
| All | Yes | Yes | Yes | Yes | Yes |
| Limited | No | Yes | Yes | Yes | Yes |
| None | No | No | No | No | No |
File Delivery
Delivery is available ONLY via a GSAS-initiated SFTP push connection with shared, public key authentication.
Files are:
-
Generated each morning Tuesday to Saturday
-
Compressed into a .zip file using a GNU zip utility
-
Initial delivery will be placed with a “.temp” extension and renamed to drop “.temp” once the file is fully uploaded – Access to rename in the directory will be required
-
Delivered via SFTP by 7am ET
info
Note
PGP Encryption of files is available upon request at time of setup.
File Fields
Each field is a fixed width with a tab delimiter separating the field. For numeric fields you may need to trim the extra spaces that are embedded in the field.
Example: Two fields with a max length of 10 and 10 with a tab delimiter separating the two fields
XXXXXXXXXX XXXXXXXXXX
Account File - Extension: ID1
The account file is a complete, daily snapshot of the latest account information that GSAS has on record. The account file are not delta files; therefore, users are responsible to determine if any information has changed.
Restrictions are embedded in the account file. Multiple restrictions could be tied to an account and could result in duplicate entries in this file when that occurs.
The file contains information on two different types of account:
-
Entity Accounts are owned by an entity, such as partnerships, business trusts, etc. There may be multiple clients attached to a single account (e.g. trustees, authorized reps, etc.).
-
Client Accounts are owned by an individual, such as IRAs.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account Number | 12 |
| Sub Acct Number | [a-z,A-Z,0-9] | Account Number + sub-account number | 16 |
| Model Name | [a-z,A-Z,0-9] | Name of model the sub-account subscribed to | 64 |
| Tax ID | [a-z,A-Z,0-9] | Tax ID or SSN of the client | 16 |
| Advisor Rep ID | [a-z,A-Z,0-9] | Advisor ID | 20 |
| Custodian ID | [a-z,A-Z,0-9] | Column has fixed value of 35 | 2 |
| Client Name | [a-z,A-Z,0-9] | Full Client Name – For entity accounts leverage this field as the name of the client | 77 |
| Salutation | [a-z,A-Z,0-9] | No value is currently mapped to this field | 1 |
| Title | [a-z,A-Z,0-9] | Mr./Mrs./Dr. etc. unavailable for entity accounts | 5 |
| First Name | [a-z,A-Z,0-9] | Client’s first name unavailable for entity accounts | 20 |
| Middle Name | [a-z,A-Z,0-9] | Client’s middle name unavailable for entity accounts | 20 |
| Last Name | [a-z,A-Z,0-9] | Client’s last name unavailable for entity accounts | 35 |
| Suffix | [a-z,A-Z,0-9] | Jr./Sr./II etc. unavailable for entity accounts | 5 |
| Home Phone | [a-z,A-Z,0-9] | Client’s home phone | 14 |
| Work Phone | [a-z,A-Z,0-9] | Client’s work phone | 14 |
| Date of Birth | [a-z,A-Z,0-9] | Client’s date of birth unavailable for entity accounts | 8 |
| [a-z,A-Z,0-9] | Client’s email address | 75 | |
| Address Type | [a-z,A-Z,0-9] | Please see Appendix A for valid values | 1 |
| Address Line 1 | [a-z,A-Z,0-9] | First line of the street address | 35 |
| Address Line 2 | [a-z,A-Z,0-9] | Second line of the street address | 35 |
| Address Line 3 | [a-z,A-Z,0-9] | Third line of the street address | 35 |
| City | [a-z,A-Z,0-9] | City of the address | 32 |
| State | [a-z,A-Z,0-9] | State of the address. Large field to handle US citizen’s living abroad | 35 |
| Zip Code | [a-z,A-Z,0-9] | Zip Code of the address | 10 |
| Country Code | [A-Z] | Please see Appendix B for valid values | 2 |
| Company | [a-z,A-Z,0-9] | Client’s employer | 45 |
| Employment Title | [a-z,A-Z,0-9] | Client’s job title | 35 |
| Website | [a-z,A-Z,0-9] | No value is currently mapped to this field | 1 |
| Account Type | [a-z,A-Z,0-9] | Please see Appendix C for details | 1 |
| Registration Info | [a-z,A-Z,0-9] | Account Registration Info | 255 |
| Sweep Ticker | [a-z,A-Z,0-9] | No value is currently mapped to this field | 1 |
| Sweep CUSIP | [a-z,A-Z,0-9] | No value is currently mapped to this field | 1 |
| Allocation | [a-z,A-Z,0-9] | Name of the allocation that the account is subscribed to | 255 |
| Account Name | [a-z,A-Z,0-9] | Name of the account | 255 |
| Plan Participant Name | [a-z,A-Z,0-9] | Name of the plan participant. for entity accounts only | 85 |
| Tax Lot Strategy | [a-z,A-Z,0-9] | Tax Lot Relief Selection Strategy. Please see Appendix D for valid values | 4 |
| ST Capital Gains Rate | [0-9].[0-9] | Short-term Capital Gains Rate if applicable to relief strategy | 100 |
| LT Capital Gains Rate | [0-9].[0-9] | Long-term Capital Gains Rate if applicable to relief strategy | 100 |
| Sub Account Name | [a-z,A-Z,0-9] | Name of the sub-account | 50 |
| Sub Account Status | [a-z,A-Z,0-9] | Close/Open Status of the sub-account (“C”=closed, “O”= open) | 1 |
| First Name_2 | [a-z,A-Z,0-9] | First Name of secondary owner of account for certain account types | 20 |
| Last Name_2 | [a-z,A-Z,0-9] | Last Name of secondary owner of account for certain account types | 35 |
| Tax ID_2 | [a-z,A-Z,0-9] | Tax ID or SSN of secondary owner of account for certain account types | 16 |
| Address Type_2 | [a-z,A-Z,0-9] | Please see Appendix A for valid values | 1 |
| Address Line 1_2 | [a-z,A-Z,0-9] | First line of the street address of secondary Owner | 35 |
| Address Line 2_2 | [a-z,A-Z,0-9] | Second line of the street address of secondary owner | 35 |
| Address Line 3_2 | [a-z,A-Z,0-9] | Third line of the street address of secondary owner | 35 |
| City_2 | [a-z,A-Z,0-9] | City of Beneficial Owner | 32 |
| State_2 | [a-z,A-Z,0-9] | State of Beneficial Owner Large field to handle US Citizens living abroad | 35 |
| Zipcode_2 | [a-z,A-Z,0-9] | Zip code of Beneficial Owner | 10 |
| Restricted Title | [a-z,A-Z,0-9] | Complete or Sell All | 50 |
| Restricted Value | [a-z,A-Z,0-9] | See Appendix E for valid restriction reasons | 50 |
| Option Enabled | [a-z,A-Z,0-9] | Eligible for option trading | 1 |
| Account Open Date | [a-z,A-Z,0-9] | Date account opened on system in MM/DD/YY format when applicable | 8 |
| Account Margin Indicator | [a-z,A-Z,0-9] | Identifies if account is approved for Margin. Please see Appendix O for valid values | 1 |
| Account Type Description | [a-z,A-Z,0-9] | Description of the type of account. Please see Appendix C for valid values | 50 |
| PM Code | [a-z,A-Z,0-9] | Identifier for an SMA Manager | 15 |
| Dividend Reinvestment Flag | [a-z,A-Z,0-9] | Flag that is indicative of whether the dividend should be reinvested or paid as cash | 1 |
| Restriction Code | [a-z,A-Z,0-9] | “CR” – Complete Restriction; “SR” – Sell Only Restriction | 2 |
| Restriction Reason Code | [a-z,A-Z,0-9] | See Appendix E for descriptions | 3 |
| Date of Birth | Date | MM/DD/YYYY format | 10 |
| Account Open Date | Date | MM/DD/YYYY format | 10 |
| RMD Amount | [0-9].[0-9] | The required minimum distribution (RMD) amount for the current year | 24 |
| YTD Distribution | [0-9].[0-9] | The YTD distribution taken for the account | 24 |
| RMD Date | Date | MM/DD/YYYY format | 10 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Position File - Extension: PS1
The position file exports trade-date balances for all accounts.
Pending cash will have the ticker CASHP and settled cash will have the ticker CASHA. Long/short indicator is required for all positions not CASHA or CASHP. The quantity number will reflect debit/credit for CASHA and CASHP (do not use the Long/short indicator).
Total cash balance (available to trade) should include CUSIPS FDIC.SWEEP, FDIC.PLUS, FDIC.CASH, CASHA, and CASHP.
Total cash balance for withdrawal should include CUSIPS FDIC.SWEEP, FDIC.PLUS, FDIC.CASH, and CASHA. Excluding CASHP (unsettled cash).
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account number | 12 |
| Folio Number | [a-z,A-Z,0-9] | Account number + sub-account number | 12 |
| Tax ID | [a-z,A-Z,0-9] | Tax ID or SSN of the client | 16 |
| Advisor Rep ID | [a-z,A-Z,0-9] | Designated Branch and Rep Code with hyphen in between | 15 |
| Long/short indicator | [A-Z] | “L”= Long, “S”=Short | 1 |
| Instrument Type | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 8 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP | 12 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker | 25 |
| Position Date | Date | Trade date position in MM/DD/YY format | 8 |
| Quantity | [0-9].[0-9] | Number of shares or (for Fixed Income) current face value | 24 |
| Forex Rate | [0-9].[0-9] | Foreign exchange rate | 25 |
| Market Value | [0-9].[0-9] | Total market value | 25 |
| Model Name | [a-z,A-Z,0-9] | Name of the model sub-account is subscribed to | 64 |
| Folio Name | [a-z,A-Z,0-9] | Name of the sub-account | 50 |
| Expiration Date | Date | Option expiration date in MM/DD/YY format when applicable | 8 |
| Strike Price | [0-9].[0-9] | Strike price of option when applicable | 24 |
| Underlying CUSIP | [a-z,A-Z,0-9] | CUSIP of underlying security when applicable | 25 |
| Underlying Ticker | [a-z,A-Z,0-9] | Ticker symbol of underlying security when applicable | 25 |
| Accrued Interest | [0-9].[0-9] | Buy Interest when applicable | 11 |
| Original Face | [0-9] | Face value of a bond or the value of a stock certificate, as stated in the corporate charter. Stock certificates issued for purchased shares show the par value. | 11 |
| Maturity Date | Date | Maturity date of security in MM/DD/YY format when applicable | 8 |
| Coupon Rate | [0-9].[0-9] | Interest rate paid by the security when applicable | 20 |
| Security Description | [a-z,A-Z,0-9] | Security description | 75 |
| Dividend Reinvestment Flag | [a-z,A-Z,0-9] | Indicators are Y- "Yes", N - "No" | 1 |
| Position Date (New Format) | Date | MM/DD/YYYY format | 10 |
| Expiration Date (New Format) | Date | MM/DD/YYYY format | 10 |
| Maturity Date (New Format) | Date | MM/DD/YYYY format | 10 |
| Restricted Shares | [0-9].[0-9] | Number of shares restricted from trading | 24 |
| Accrued Interest T | [0-9].[0-9] | For fixed income securities that have accrued interest | 13 |
| Accrued Interest T-1 | [0-9].[0-9] | For fixed income securities that have accrued interest for the previous calendar date | 13 |
| Accrued Interest T-2 | [0-9].[0-9] | For fixed income securities that have accrued interest for the calendar date - 2 | 13 |
| Accrued Interest T-3 | [0-9].[0-9] | For fixed income securities that have accrued interest for the calendar date - 3 | 13 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Price File - Extension: MV1
The price file exports daily closing prices. Where a price is missing or not available, the price field will be set to “NO PRICE FOUND”.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Instrument Type | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 8 |
| Currency | [a-z,A-Z,0-9] | Currency of the closing price | 12 |
| Market Code | [a-z,A-Z,0-9] | Please see Appendix G for valid values | 5 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker | 25 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP | 12 |
| Date | Date | Pricing date in MM/DD/YY format | 8 |
| Closing Price | [0-9].[0-9] | Price of security | 25 |
| Distribution | [0-9].[0-9] | No value is currently mapped to this field | 25 |
| Description 1 | [a-z,A-Z,0-9] | Security Description part 1 | 40 |
| Description 2 | [a-z,A-Z,0-9] | Security Description part 2 | 40 |
| Issue Size | [0-9].[0-9] | Par value of security, when applicable | 20 |
| Principle Balance Factor | [0-9].[0-9] | Factor of original total principal amount when applicable | 31 |
| Date | Date | MM/DD/YYYY format | 10 |
| Extra Security Description | [a-z,A-Z,0-9] | Security Description aligned with PS1 and TR1 files | 256 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Security File - Extension: SE1
The security file exports security information.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Security Name | [a-z,A-Z,0-9] | Name of security | 75 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker symbol | 25 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP number | 12 |
| Instrument Type | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 16 |
| Maturity Date | Date | MM/DD/YY when applicable | 8 |
| Expiration Date | Date | Option expiration date in MM/DD/YY format when applicable | 8 |
| Call Date | Date | MM/DD/YY when applicable | 8 |
| Call Price | [0-9].[0-9] | Price of buy back when applicable | 16 |
| Issue Date | Date | MM/DD/YY when applicable | 8 |
| First Coupon Date | Date | MM/DD/YY when applicable | 8 |
| Coupon Rate | [0-9].[0-9] | Coupon rate on security when applicable | 30 |
| Share Per Contract | [0-9] | Number of shares per option otherwise [Empty] | 5 |
| Call or Put | [a-z,A-Z,0-9] | Option type when applicable | 1 |
| Strike Price | [a-z,A-Z,0-9] | Price to exercise contract when applicable | 20 |
| Mutual Fund Offering | [a-z,A-Z,0-9] | Please see Appendix G for valid values | 30 |
| Asset Type | [a-z,A-Z,0-9] | Please see Appendix L for valid values | 3 |
| Maturity Date | Date | MM/DD/YYYY format | 10 |
| Expiration Date | Date | MM/DD/YYYY format | 10 |
| Call Date | Date | MM/DD/YYYY format | 10 |
| Issue Date | Date | MM/DD/YYYY format | 10 |
| First Coupon Date | Date | MM/DD/YYYY format | 10 |
| Security Description | [a-z,A-Z,0-9] | Security Description aligned with PS1 and TR1 files | 256 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Transaction File – Extension: TR1
The transaction file exports sub-account activity, which combined reflect the total activity of an account.
Leverage Reference Code for more granular transaction descriptions for the Transaction Codes of MFEEI, CDEP, CLTW, SRI, and SDO. These more granular descriptions are provided in the new columns added to the file under Transaction Type.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account number | 12 |
| Sub Account Number | [a-z,A-Z,0-9] | Account number + sub-account number | 12 |
| Tax ID | [a-z,A-Z,0-9] | Tax ID or SSN of the client | 12 |
| Advisor Rep ID | [a-z,A-Z,0-9] | Designated Branch and Rep Code with hyphen in between | 15 |
| Transaction Code | [a-z,A-Z,0-9] | Please see Appendix H for valid values | 12 |
| Instrument Type | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 16 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP number | 12 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker symbol | 25 |
| Trade Date | Date | MM/DD/YY format | 8 |
| Settle Date | Date | MM/DD/YY format | 8 |
| Tax Date | Date | MM/DD/YY format | 8 |
| Quantity | [0-9].[0-9] | Number of shares or (for fixed income) current face value | 24 |
| Forex Rate | [0-9].[0-9] | Foreign exchange rate (0.0 for transactions not affecting cash) | 24 |
| Price | [0-9].[0-9] | The price of the transaction based on Dollars/Share | 24 |
| Trade Amount | [0-9].[0-9] | The dollar amount of the transaction (net amount + comm/fees) | 24 |
| Acquisition Cost | [0-9].[0-9] | Otherwise known as tax cost. Will be the same as ‘Trade Amount’ except for SR1 and SDO transactions | 24 |
| House Commission | [0-9].[0-9] | No value is currently mapped to this field | 24 |
| Rep Commission | [0-9].[0-9] | Commission paid to advisor representative | 24 |
| Total Commission | [0-9].[0-9] | Total Commission | 24 |
| Exchange Fee | [0-9].[0-9] | Charges incurred by investors and traders when they buy, sell, or hold financial instruments on a financial exchange | 24 |
| Other Fee | [0-9].[0-9] | SEC Fee is being charged under other fee section | 24 |
| Withhold Tax | [0-9].[0-9] | For taxable accounts this indicates the federal withholding tax charged | 24 |
| Foreign Withhold Tax | [0-9].[0-9] | For taxable accounts this indicates the foreign withholding tax charged | 24 |
| Stop Sweep | [a-z,A-Z,0-9] | No value is currently mapped to this field | 24 |
| Broker Code | [a-z,A-Z,0-9] | Indicates which exchange the trade was executed at. | 6 |
| GSAS Identifier | [a-z,A-Z,0-9] | GSAS internal identifier for the transaction | 100 |
| Cancel Flag | [A-Z] | “Y” = cancel | 1 |
| Comment 1 | [0-9] | Comments | 100 |
| Comment 2 | [a-z,A-Z,0-9] | Comments | 20 |
| Comment 3 | [a-z,A-Z,0-9] | Comments | 100 |
| Reason for Trade | [a-z,A-Z,0-9] | Please see Appendix I for valid values | 2 |
| Expiration Date | Date | Option expiration date in format of MM/DD/YY when applicable | 8 |
| Strike Price | [0-9].[0-9] | Strike price of option when applicable | 25 |
| Underlying CUSIP | [a-z,A-Z,0-9] | Underlying Instrument CUSIP number when applicable | 25 |
| Underlying Ticker | [a-z,A-Z,0-9] | Underlying Instrument Ticker symbol when applicable | 25 |
| Accrued Interest | [0-9].[0-9] | Buy Interest | 25 |
| Original Face | [0-9] | Face value of a bond or the value of a stock certificate, as stated in the corporate charter. Stock certificates issued for purchased shares show the par value. | 100 |
| Maturity Date | Date | MM/DD/YY when applicable | 8 |
| Coupon Rate | [0-9].[0-9] | Interest rate paid by the security when applicable | 25 |
| Security Description | [a-z,A-Z,0-9] | Security description | 100 |
| Mutual Fund Offering | [a-z,A-Z,0-9] | Please see Appendix G for valid values | 30 |
| Reported Price | [0-9].[0-9] | Price reported on transaction | 20 |
| Solicited Flag | [a-z,A-Z,0-9] | Indicators: “Y” – yes, “N” – no | 1 |
| Discretionary Flag | [a-z,A-Z,0-9] | Discretion or POA over account's trading. “Y”–yes, “N”– no, ”O”- Null | 1 |
| Capacity | [a-z,A-Z,0-9] | Please see Appendix N for valid values. | 1 |
| Trade Execution Time | [a-z,A-Z,0-9] | Time of trade execution | 20 |
| Rebill Indicator | [a-z,A-Z,0-9] | Please see Appendix M for valid values | 1 |
| Cash/Margin | [a-z,A-Z,0-9] | “C” – Cash , “M” - Margin | 1 |
| TR Number | [a-z,A-Z,0-9] | Transaction Number | 19 |
| Internal Cash Transfer Account | [a-z,A-Z,0-9] | Contra account number for Internal Cash Transfers | 10 |
| External Transfer Account Number | [a-z,A-Z,0-9] | ACATC and ACATS transactions with external account number, if available | 20 |
| Trade Date | Date | MM/DD/YYYY format | 10 |
| Settle Date | Date | MM/DD/YYYY format | 10 |
| Tax Date | Date | MM/DD/YYYY format | 10 |
| Expiration | Date | MM/DD/YYYY format | 10 |
| Maturity | Date | MM/DD/YYYY format | 10 |
| Trade Execution Time | Date | MM/DD/YYYY format | 20 |
| Reference Code | [a-z,A-Z,0-9] | Refer to the Appendix H description | 30 |
| Confirmed (Alternative Investments Only) | [a-z,A-Z,0-9] | Indicators are Y- "Yes", N - "No" to indicate Alternative product confirmed or not | 1 |
| Category | [a-z,A-Z,0-9] | Category of the transaction | 25 |
| Sub Category | [a-z,A-Z,0-9] | Sub Category of the transaction | 30 |
| Transaction Type | [a-z,A-Z,0-9] | Transaction Type of the transaction | 150 |
| Description | [a-z,A-Z,0-9] | Description of the transaction | 200 |
| Additional Description | [a-z,A-Z,0-9] | Additional description of the transaction | 200 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Tax Lot File – Extension: TL1
The tax lot file exports account level tax lot information for all open positions.
Adjusted Cost will have the most up to date cost basis information, which includes adjustments from corporate actions, wash sales, inheritance step up, etc. For transferred positions, we will often not get original cost and we receive the adjusted cost from the counter party.
The 35-character “Long Lot ID” value has superseded the previous “Lot ID”, which will be delivered as a blank value after 6/30/2025.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account number | 12 |
| Lot ID | [a-z,A-Z,0-9] | Identifies tax lot (sent blank after June 2025) | 10 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP number | 25 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker symbol | 25 |
| Quantity | [0-9].[0-9] | Number of shares or (for Fixed Income) current face value | 21 |
| Original Cost | [0-9].[0-9] | Full amount paid for security includes fees, commissions | 18 |
| Purchase Date | Date | Date lot purchased in MM/DD/YY format | 8 |
| Unit Cost | [0-9].[0-9] | Price per quantity of tax lot | 25 |
| Holding Period | [a-z,A-Z,0-9] | Long or Short | 5 |
| Instrument Type | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 10 |
| Market Value | [a-z,A-Z,0-9] | Total market value | 18 |
| Adjusted Cost | [0-9].[0-9] | Original Cost plus/minus any adjustments | 18 |
| Advisor Rep ID | [a-z,A-Z,0-9] | Designated Branch and Rep Code with hyphen in between | 10 |
| Expiration Date | Date | Option expiration date in MM/DD/YY format when applicable | 8 |
| Strike Price | [0-9].[0-9] | Strike price of option when applicable | 18 |
| Underlying CUSIP | [a-z,A-Z,0-9] | Underlying Instrument CUSIP number when applicable | 25 |
| Underlying Ticker | [a-z,A-Z,0-9] | Underlying Instrument Ticker symbol when applicable | 25 |
| Accrued Interest | [0-9].[0-9] | Buy Interest when applicable | 18 |
| Original Face | [a-z,A-Z,0-9] | No value is currently mapped to this field | 18 |
| Maturity Date | Date | MM/DD/YY when applicable | 8 |
| Coupon Rate | [0-9].[0-9] | Interest rate paid by the security when applicable | 22 |
| Security Description | [a-z,A-Z,0-9] | Security description | 75 |
| Taxable Account Indicator | [a-z,A-Z,0-9] | Indicators: “Y” – yes, “N” – no | 1 |
| Purchase Date | Date | MM/DD/YYYY format | 10 |
| Expiration Date | Date | MM/DD/YYYY format | 10 |
| Maturity Date | Date | MM/DD/YYYY format | 10 |
| Long Lot ID | [0-9].[0-9] | Identifies tax lot, use instead of Lot ID | 35 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Closed Tax Lot File – Extension: HS1
The closed tax lot file exports all closed tax lots YTD at an account level.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account number | 12 |
| CUSIP | [a-z,A-Z,0-9] | Instrument CUSIP number | 25 |
| Ticker | [a-z,A-Z,0-9] | Instrument Ticker symbol | 25 |
| Instrument Name | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 10 |
| Currency | [a-z,A-Z,0-9] | 3 character code, e.g. USD, for the security | 3 |
| Trade Date | Date | MM/DD/YYYY format | 8 |
| Quantity | [0-9].[0-9] | Number of shares or (for fixed income) current face value | 21 |
| Trade Amount | [0-9].[0-9] | The dollar amount of the transaction (net amount + comm/fees) | 18 |
| Short Term Gain or Loss | [a-z,A-Z,0-9] | Gain or loss for sale of security held for less than 1 year | 18 |
| Long Term Gain or Loss | [a-z,A-Z,0-9] | Gain or loss for sale of security held for longer than 1 year | 18 |
| Wash Sale Indicator | [A-Z] | Was this part of a wash sale? Valid values: Y, N | 1 |
| Disallowed Loss | [a-z,A-Z,0-9] | Amount disallowed due to wash sales | 18 |
| Trade Date FX Rate | [a-z,A-Z,0-9] | Currency exchange rate | 8 |
| Settlement Date | Date | MM/DD/YYYY format | 8 |
| Opening Trade Date | Date | MM/DD/YYYY format | 8 |
| Original Cost | [0-9].[0-9] | Original cost of tax lot | 18 |
| Adjusted Cost | [a-z,A-Z,0-9] | Full amount paid includes fees, commissions & wash sales | 18 |
| Original Face | [a-z,A-Z,0-9] | No value is currently mapped to this field | 10 |
| Average Cost Lot Indicator | [a-z,A-Z,0-9] | Current value = N | 1 |
| Accounting Method | [a-z,A-Z,0-9] | Please see Appendix J for valid values | 4 |
| Gift Date | Date | MM/DD/YYYY format | 8 |
| Inheritance Date | Date | MM/DD/YYYY format | 8 |
| Covered Indicator | [A-Z] | C or N | 1 |
| Advisor Rep ID | [a-z,A-Z,0-9] | Designated Branch and Rep Code with hyphen in between | 15 |
| Par Value | [a-z,A-Z,0-9] | Par value for applicable securities | 10 |
| Security Description | [a-z,A-Z,0-9] | Security description | 75 |
| Taxable Account Indicator | [a-z,A-Z,0-9 | Indicators: “Y” – yes, “N” – no | 1 |
| Trade Date | Date | MM/DD/YYYY format | 10 |
| Settlement Date | Date | MM/DD/YYYY format | 10 |
| Opening Trade Date | Date | MM/DD/YYYY format | 10 |
| Gift Date | Date | MM/DD/YYYY format | 10 |
| Inheritance Date | Date | MM/DD/YYYY format | 10 |
| Broker Dealer | [a-z,A-Z,0-9] | Broker Dealer affiliation of the advisor | 35 |
Alts Capital Commitment – Extension: CC1
The alts capital commitment file provides details for each specific capital call in the context of the amount committed.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| Account Number | [a-z,A-Z,0-9] | Account Number | 12 |
| CUSIP/Ticker | [a-z,A-Z,0-9] | Instrument CUSIP | 12 |
| Commitment Date | MM/DD/YYYY | Date of capital commitment | 10 |
| Amount Committed | [a-z,A-Z,0-9] | Amount of $$ for a specific capital call | 24 |
| Amount Realized – Already Called Values | [a-z,A-Z,0-9] | Amount of $$ called/realized from previous calls | 24 |
Alts Security - Extension: AS1
The alts security file provides information on the details of the asset involved in capital calls and capital commitments between GSAS Alts and external vendors.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| CUSIP/Ticker | [a-z,A-Z,0-9] | Instrument CUSIP number | 12 |
| Instrument Name | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 50 |
| Instrument Name | [a-z,A-Z,0-9] | Please see Appendix F for valid values | 50 |
| Fund Structure | [a-z,A-Z,0-9] | Unitized vs. Capital Balance | 20 |
| Security Type | [a-z,A-Z,0-9] | Ex: REIT vs, LLC vs Fund of Funds, etc. | 20 |
| Review Frequency | [a-z,A-Z,0-9] | The # of times a year an asset is reviewed by GSAS Operations | 20 |
| Date of First Review | Date | MM/DD/YYYY | 10 |
| Date of Last Review | Date | MM/DD/YYYY | 10 |
| Date of Next Review | Date | MM/DD/YYYY | 10 |
| Strategy | [a-z,A-Z,0-9] | Security Type | 20 |
| Funding Type | [a-z,A-Z,0-9] | Fully funded, capital call vs exchange fund/ | 20 |
| Fund Size | [a-z,A-Z,0-9] | Total fund size in $$ | 24 |
| Target Term | [a-z,A-Z,0-9] | Fund length (x years vs open ended) | 30 |
| Target IRR | [a-z,A-Z,0-9] | % of internal rate of return | 30 |
| Target Leverage | [a-z,A-Z,0-9] | % of capital from debt | 30 |
| Management Fee | [a-z,A-Z,0-9] | $$ charged (%of holdings) for management of funds | 24 |
| Carried Interest | [a-z,A-Z,0-9] | % of carried interest of the asset | 24 |
| Huddle Rate | [a-z,A-Z,0-9] | % of the asset hurdle rate | 24 |
| High Rate | [a-z,A-Z,0-9] | Lending % | 1 |
| High Watermark | [a-z,A-Z,0-9] | The peak in value that an investment fund | 24 |
| Minimum Investment | [a-z,A-Z,0-9] | Minimum investment to participate in the fund | 24 |
| Investor Eligibility | [a-z,A-Z,0-9] | Qualified purchaser | 100 |
| Asset Manager | [a-z,A-Z,0-9] | Name of Asset Manager (company name) | 50 |
| Asset Manager Contact | [a-z,A-Z,0-9] | Person of contact for asset manager (first and last name) | 50 |
| Asset Manager Phone | [a-z,A-Z,0-9] | Person of contact’s phone # | 20 |
| Asset Manager Email | [a-z,A-Z,0-9] | Person of contact’s email | 50 |
| Country of Abbrev | [a-z,A-Z,0-9] | See Appendix B for options | 3 |
| Tax Structure | [a-z,A-Z,0-9] | 1099 vs K1 | 20 |
Household - Extension: HH1
The Household file gives all of the account groupings setup on our platform.
| Field | Type | Description | Max Length |
|---|---|---|---|
| Routing Code | [a-z,A-Z,0-9] | Firm specific sub-directory | 12 |
| As Of Date | Date | MM/DD/YYYY | 10 |
| Household ID | [0-9].[0-9] | Internal identifier of the household | 10 |
| Name | [a-z,A-Z,0-9] | Name of the household visible to the user | 50 |
| Account Group Type | [a-z,A-Z,0-9] | Type of Household (Statement, Billing, etc.) | 50 |
| Group Attribute | [a-z,A-Z,0-9] | Defining it as true | 25 |
| Account Number | [a-z,A-Z,0-9] | Account number | 12 |
| Login ID | [a-z,A-Z,0-9] | The login of the head of the household | 255 |
| First Name | [a-z,A-Z,0-9] | Client’s first name unavailable for entity accounts | 20 |
| Last Name | [a-z,A-Z,0-9] | Client’s last name unavailable for entity accounts | 35 |
| Address Type | [a-z,A-Z,0-9] | Type of Address (Home, Business, etc.) | 10 |
| Household Address 1 | [a-z,A-Z,0-9] | First line of the street address | 35 |
| Household Address 2 | [a-z,A-Z,0-9] | Second line of the street address | 35 |
| Household Address 3 | [a-z,A-Z,0-9] | Third line of the street address | 35 |
| Household City | [a-z,A-Z,0-9] | City of the address | 32 |
| Household State | [a-z,A-Z,0-9] | State of the address. Large field to handle US citizen’s living abroad | 35 |
| Household Zipcode | [a-z,A-Z,0-9] | Zip Code of the address | 10 |
| Country | [a-z,A-Z,0-9] | Please see Appendix B for valid values | 2 |
| [a-z,A-Z,0-9] | Email address of the head of household | 75 |
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