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The following information is found in the open orders section.

Order Date and Action

For open orders, the Order Date and Action column displays the date the trade was placed.

Underneath the date, you may see the following:

• Cancel: If the order is a window trade, and the window has not yet closed, you may be able to cancel the order by clicking on “Cancel.” The closer the window is to closing, the less likely it is you will be able to cancel the order.
• Try to Cancel: If the order was a direct trade, you may try to cancel it by clicking on “Try to Cancel.” Your chances for canceling the order are slim since direct trades are sent to the market immediately.
• Modify: If the order is a window trade, and the window has not closed yet, you may be able to modify your order by clicking on “Modify.” The closer the window is to closing, the less likely it is you will be able to modify the order.

Status

This column displays the current status for open orders. Possible open order statuses are

• Pending: If a window order was placed and the window has not closed yet, “Pending” will be in the Status column.
• In Progress: If we’ve started to execute the order, “In Progress” will be in the status column.

Order Number

This column displays the number assigned to each order. If you click on the order number, you will go to the “Order Details” page where these items appear:

• trading action, identifies buys and sells
• security symbols
• company names
• shares
• execution price per share
• transaction amount

Account and Folio

This column displays the name of the account where the trade was placed.

If the trade was placed for a Folio, the name of the Folio will appear under the account name.

If the trade was placed for your Non-Folio Holdings, “Non-Folio Holdings” will appear under the account name.

Trade Type

This column will tell you if the order is a direct trade or a window trade.

• Direct Trades: If the order is a direct trade, “Direct” will be in this column.
• Window Trades: If the order is a window trade, the time of day the window closes will appear in this column.
  Click here for our current window trade times and frequency.

Trade Description

This column will tell you

• If the order was dollar-based or share-based,
• If the order was a buy or sell,
• The dollar amount for dollar-based orders, and
• The estimated dollar amount for share-based orders.

Due to fluctuations in market prices, we are not able to tell you the exact dollar amount for share-based orders until after the order is executed.

The following information is found in the closed orders section.

Order Date and Action

For closed orders, the Order Date and Action column will display the date the trade was executed, partially executed, or cancelled.

Under the date, you may see the following:

• Resubmit: If the order was not executed, “Resubmit” may appear under the date. Click on it if you would like to resubmit the order for execution when the current window closes.
  A trade may not execute because your cancel order limit was reached or you had a lack of funds available to make a purchase.
• Status This column displays the status of closed orders. Possible closed order statuses are
  • Executed: If a window order was completely filled, “Executed” will be in the status column.
  • Partially Executed: If a window order was only partially filled, “Partially Executed” will appear in the status column.
  • Cancelled: If none of the order was executed, “Cancelled” will be in the status column.
  • Cancelled - Limit: If a cancel order limit was reached causing the order to be cancelled, “Cancelled - Limit” will appear in the status column.
  • Cancelled - Funds: If the order was cancelled because you did not have the funds necessary to make the purchase, “Cancelled - Funds” will appear in the status column.

Order Number

This column displays the number assigned to each order. If you click on the order number, you will go to the “Order Details” page where these items appear:

• trading action, identifies buys and sells
• security symbols
• company names
• shares
• execution price
• transaction amount

Account and Folio

This column displays the name of the account where the trade was placed.

If the trade was placed for a Folio, the name of the Folio will appear under the account name.

If the trade was placed for your Non-Folio Holdings, “Non-Folio Holdings” will appear under the account name.

Trade Type

This column will tell you if the order is a direct trade or a window trade.

• Direct Trades: If the order is a direct trade, “Direct” will be in this column.
• Window Trades: If the order is a window trade, the time of day the window closes will appear in this column.
  Click here for our current window trade times and frequency.

The date the trade was executed will also appear in the column.

Trade Description

This column will tell you

• if the order was dollar-based or share-based,
• if the order was a buy or sell, and
• the total dollar amount.

The “Order Details” page allows you to view the specifics of your trade orders. You can review general information such as dates and status of your orders by order category.

Pending and Executed Orders are listed with their status as pending or executed. Executed trades display

• The number of shares requested and executed
• The price per share
• The total dollar amount bought and sold

Cancelled Orders are listed with the associated reason for cancellation. Reasons for cancellation are one of the following:

• Insufficient Funds: the amount of funds in your account did not cover this order
• Price movement exceeded limit: the movement of the price exceeded the cancel order limit set for this account
• Invalid stop price: the stop price set for this order was not valid

Orders Not Generated are listed with the associated reason for not generating. Reasons are one of the following:

• Percentage Trade Threshold not met: the deviation of the current weight from the target weight for this security did not meet the percentage trade threshold set by the model manager. This threshold is set to eliminate nuisance orders during a model sync. (What is this?)
• Dollar Trade Threshold not met: the deviation of the current dollar amount invested in the security from the target dollar amount did not meet the dollar trade threshold set by the advisory firm. This threshold is set to eliminate nuisance orders during a model or account sync. (What is this?)
• Minimum not met: this order did not meet the mutual fund minimum.

Please note that we calculate the total price of each security using six decimal places, but on this page, the total price is displayed with two decimal places. Due to this rounding, shares multiplied by price per share may not exactly equal the total value listed for each security. Also, the sum of all prices in the “Total Price” and “Total (before fees)” columns may not exactly equal the true total order amounts listed at the bottom of the page.