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1.发明申请SYSTEMS, METHODS, AND COMPUTER PROGRAM PRODUCTS FOR ADJUSTING THE ASSETS OF AN INVESTMENT ACCOUNT 审中-公开用于调整投资账户资产的系统，方法和计算机程序产品公开(公告)号：US20100191672A1
公开(公告)日：2010-07-29
申请号：US12726918
申请日：2010-03-18
申请人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
发明人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q40/10
摘要： Methods of the present invention identify an asset allocation model and at least one security associated there with. An investment account portfolio is stored that includes at least one substitute security associated with the identified at least one security. A virtual portfolio is then generated that includes the identified at least one security. A tax lot is created for the identified at least one security to identify a total value for the at least one security, and the method determines whether the virtual portfolio complies with the asset allocation model. The identified at least one security associated with the asset allocation model is restricted from the investment account portfolio.
摘要翻译： 本发明的方法识别资产分配模型和与其相关联的至少一个安全性。 存储投资账户组合，其包括与所识别的至少一个证券相关联的至少一个替代证券。 然后生成包括所识别的至少一个安全性的虚拟组合。 为所识别的至少一个安全机构创建税额以识别至少一个安全性的总价值，并且该方法确定虚拟投资组合是否符合资产分配模型。 与资产分配模型相关联的所识别的至少一个证券不受投资账户组合的限制。
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2.发明授权Systems, methods, and computer program products for adjusting the assets of an investment account 有权用于调整投资账户资产的系统，方法和计算机程序产品公开(公告)号：US07711626B2
公开(公告)日：2010-05-04
申请号：US11480688
申请日：2006-06-30
申请人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
发明人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q40/10
摘要： Methods of the present invention identify an asset allocation model and at least one security associated there with. An investment account portfolio is stored that includes at least one substitute security associated with the identified at least one security. A virtual portfolio is then generated that includes the identified at least one security. A tax lot is created for the identified at least one security to identify a total value for the at least one security, and the method determines whether the virtual portfolio complies with the asset allocation model. The identified at least one security associated with the asset allocation model is restricted from the investment account portfolio.
摘要翻译： 本发明的方法识别资产分配模型和与其相关联的至少一个安全性。 存储投资账户组合，其包括与所识别的至少一个证券相关联的至少一个替代证券。 然后生成包括所识别的至少一个安全性的虚拟组合。 为所识别的至少一个安全机构创建税额以识别至少一个安全性的总价值，并且该方法确定虚拟投资组合是否符合资产分配模型。 与资产分配模型相关联的所识别的至少一个证券不受投资账户组合的限制。
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3.发明申请Systems, methods, and computer program products for adjusting the assets of an investment account 有权用于调整投资账户资产的系统，方法和计算机程序产品公开(公告)号：US20080016010A1
公开(公告)日：2008-01-17
申请号：US11480688
申请日：2006-06-30
申请人： Hari Nanjundamoorthy , Charles R. Smith , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
发明人： Hari Nanjundamoorthy , Charles R. Smith , Michele Pierdinock , William McKinney , Lavinia S. Zyvith , Reo A. Gonzales , Joseph A. Barone
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q40/10
摘要： Methods of the present invention identify an asset allocation model and at least one security associated there with. An investment account portfolio is stored that includes at least one substitute security associated with the identified at least one security. A virtual portfolio is then generated that includes the identified at least one security. A tax lot is created for the identified at least one security to identify a total value for the at least one security, and the method determines whether the virtual portfolio complies with the asset allocation model. The identified at least one security associated with the asset allocation model is restricted from the investment account portfolio.
摘要翻译： 本发明的方法识别资产分配模型和与其相关联的至少一个安全性。 存储投资账户组合，其包括与所识别的至少一个证券相关联的至少一个替代证券。 然后生成包括所识别的至少一个安全性的虚拟组合。 为所识别的至少一个安全机构创建税额以识别至少一个安全性的总价值，并且该方法确定虚拟投资组合是否符合资产分配模型。 与资产分配模型相关联的所识别的至少一个证券不受投资账户组合的限制。
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公开(公告)号：US20080162326A1
公开(公告)日：2008-07-03
申请号：US11618300
申请日：2006-12-29
IPC分类号： G06Q40/00
摘要： A system and method for identifying a candidate set of one or more buy orders associated with an investment account, ordering the buy orders in the candidate set into a chain, determining a back out target value that identifies a fiscal amount by which the candidate set must be reduced, and decrementing an initial asset quantity of one or more successive non-zero quantity buy orders in the chain by a fixed integer quantity to a final asset quantity until the back out target value is achieved. The candidate set of buy orders can then be modified by replacing the respective initial asset quantity with the respective final asset quantity for at least one of the one or more buy orders. The modified candidate set of buy orders can then be provided for trade execution.
摘要翻译： 一种用于识别与投资账户相关联的一个或多个购买订单的候选组的系统和方法，将候选组中的买单订购到链中，确定用于标识候选集必须的财政金额的退出目标值 并将链中一个或多个连续的非零数量买单的初始资产数量减少固定整数到最终资产数量，直到达到退出目标值。 然后可以通过将相应的初始资产数量替换为一个或多个购买订单中的至少一个购买订单的相应最终资产数量来修改候选组买单。 然后，可以提供修改后的买入订单集合以进行交易执行。
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公开(公告)号：US20080162325A1
公开(公告)日：2008-07-03
申请号：US11618282
申请日：2006-12-29
IPC分类号： G06Q40/00
摘要： A system and method for identifying a candidate set of at least one buy order associated with an investment account, determining a back out target value that identifies a fiscal amount by which the candidate set must to be reduced, and progressively decrementing a respective initial asset quantity of one or more buy orders of the candidate set until the back out target value is achieved at a final asset quantity of the one or more buy orders. The candidate set of buy orders can then be modified by replacing the respective initial asset quantity with the respective final asset quantity for at least one of the one or more buy orders. The modified candidate set of buy orders can then be provided for trade execution.
摘要翻译： 一种用于识别与投资账户相关联的至少一个购买订单的候选组的系统和方法，确定识别所述候选集合必须减少的财政金额的退出目标值，并且逐渐递减相应的初始资产数量 一个或多个候选人的购买订单，直到在一个或多个买单的最终资产数量达到退出目标值。 然后可以通过将相应的初始资产数量替换为一个或多个购买订单中的至少一个购买订单的相应最终资产数量来修改候选组买单。 然后，可以提供修改后的买入订单集合以进行交易执行。
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公开(公告)号：US07797224B2
公开(公告)日：2010-09-14
申请号：US11618300
申请日：2006-12-29
IPC分类号： G06Q40/00
摘要： A system and method for identifying a candidate set of one or more buy orders associated with an investment account, ordering the buy orders in the candidate set into a chain, determining a back out target value that identifies a fiscal amount by which the candidate set must be reduced, and decrementing an initial asset quantity of one or more successive non-zero quantity buy orders in the chain by a fixed integer quantity to a final asset quantity until the back out target value is achieved. The candidate set of buy orders can then be modified by replacing the respective initial asset quantity with the respective final asset quantity for at least one of the one or more buy orders. The modified candidate set of buy orders can then be provided for trade execution.
摘要翻译： 一种用于识别与投资账户相关联的一个或多个购买订单的候选组的系统和方法，将候选组中的买单订购到链中，确定用于标识候选集必须的财政金额的退出目标值 并将链中一个或多个连续的非零数量买单的初始资产数量减少固定整数到最终资产数量，直到达到退出目标值。 然后可以通过将相应的初始资产数量替换为一个或多个购买订单中的至少一个购买订单的相应最终资产数量来修改候选组买单。 然后，可以提供修改后的买入订单集合以进行交易执行。
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7.发明授权Systems and methods enabling investment activities via the creation and use of client-specific security files 有权系统和方法通过创建和使用客户端特定的安全文件来实现投资活动公开(公告)号：US07805348B2
公开(公告)日：2010-09-28
申请号：US11395036
申请日：2006-03-31
申请人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , Donna Figlik , Lorraine Giordano
发明人： Hari Nanjundamoorthy , Charles R. Smith, III , Michele Pierdinock , Donna Figlik , Lorraine Giordano
IPC分类号： G06Q40/00
摘要： Methods and system for performing an investment portfolio activity. A record associated with a security is stored. The record includes two or more data fields each associated with a respective security attribute, and each data field is associated with a single data value. A request to add a new data field to one of the security attributes is received, and the new data field is associated with a new data value. A customized record associated with the security is created, which includes the new data field and the new data value, and an order to perform an investment portfolio activity associated with the security is received. The investment portfolio activity is executed using the new data value included in the customized record.
摘要翻译： 执行投资组合活动的方法和制度。 存储与安全相关联的记录。 记录包括两个或多个数据字段，每个数据字段与相应的安全属性相关联，并且每个数据字段与单个数据值相关联。 接收到向其中一个安全属性添加新数据字段的请求，并且新的数据字段与新的数据值相关联。 创建与安全性相关联的定制记录，其中包括新的数据字段和新的数据值，并且接收到执行与安全性相关联的投资组合活动的命令。 投资组合活动使用定制记录中包含的新数据值执行。
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公开(公告)号：US07873563B2
公开(公告)日：2011-01-18
申请号：US11618282
申请日：2006-12-29
IPC分类号： G06Q40/00
摘要： A system and method for identifying a candidate set of at least one buy order associated with an investment account, determining a back out target value that identifies a fiscal amount by which the candidate set must to be reduced, and progressively decrementing a respective initial asset quantity of one or more buy orders of the candidate set until the back out target value is achieved at a final asset quantity of the one or more buy orders. The candidate set of buy orders can then be modified by replacing the respective initial asset quantity with the respective final asset quantity for at least one of the one or more buy orders. The modified candidate set of buy orders can then be provided for trade execution.
摘要翻译： 一种用于识别与投资账户相关联的至少一个购买订单的候选组的系统和方法，确定识别所述候选集合必须减少的财政金额的退出目标值，并且逐渐递减相应的初始资产数量 一个或多个候选人的购买订单，直到在一个或多个买单的最终资产数量达到退出目标值。 然后可以通过将相应的初始资产数量替换为一个或多个购买订单中的至少一个购买订单的相应最终资产数量来修改候选组买单。 然后，可以提供修改后的买入订单集合以进行交易执行。
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9.发明申请Systems and methods enabling investment activities via the creation and use of client-specific security files 有权系统和方法通过创建和使用客户端特定的安全文件来实现投资活动公开(公告)号：US20070233588A1
公开(公告)日：2007-10-04
申请号：US11395036
申请日：2006-03-31
IPC分类号： G06Q40/00
摘要： Methods and system for performing an investment portfolio activity. A record associated with a security is stored. The record includes two or more data fields each associated with a respective security attribute, and each data field is associated with a single data value. A request to add a new data field to one of the security attributes is received, and the new data field is associated with a new data value. A customized record associated with the security is created, which includes the new data field and the new data value, and an order to perform an investment portfolio activity associated with the security is received. The investment portfolio activity is executed using the new data value included in the customized record.
摘要翻译： 执行投资组合活动的方法和制度。 存储与安全相关联的记录。 记录包括两个或多个数据字段，每个数据字段与相应的安全属性相关联，并且每个数据字段与单个数据值相关联。 接收到向其中一个安全属性添加新数据字段的请求，并且新的数据字段与新的数据值相关联。 创建与安全性相关联的定制记录，其中包括新的数据字段和新的数据值，并且接收到执行与安全性相关联的投资组合活动的命令。 投资组合活动使用定制记录中包含的新数据值执行。
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10.发明申请Systems and Methods for Multi-style Portfolio (MSP) Cash Flow Enhancement 有权多风格投资组合（MSP）现金流量增强的系统和方法公开(公告)号：US20070168273A1
公开(公告)日：2007-07-19
申请号：US11687454
申请日：2007-03-16
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06
摘要： Systems and methods are provided for multi-style portfolio cash flow enhancement. The systems and methods include identifying a first set of one or more investment sleeves within an investment account as underweighted relative to a desired target and identifying a second set of one or more investment sleeves within the investment account as overweighted relative to the desired target, where the investment account includes a plurality of investment sleeves and where each investment sleeve includes at least one asset. The systems and methods further include generating one or more sell orders in the second set to rebalance at least one overweighted investment sleeve of the second set to the desired target, associating one or more cash flows with each sell order, where each of the one or more cash flows is further associated with one of the underweighted sleeves of the first set, and performing at least one of the one or more cash flows to flow cash to one or more of the underweighted sleeves if the corresponding sell order is successfully executed.
摘要翻译： 提供了多风格投资组合现金流增强的系统和方法。 所述系统和方法包括在投资账户内识别出相对于期望的目标而不足的一个或多个投资套筒的第一组，并且将投资账户内的一个或多个投资套筒的第二组识别为相对于期望的目标超重，其中 投资账户包括多个投资袖子，每个投资套包括至少一个资产。 所述系统和方法还包括在第二集合中产生一个或多个卖出订单，以将至少一个超量投资套件重新平衡到期望的目标，将一个或多个现金流与每个卖出订单相关联，其中， 如果相应的销售订单被成功地执行，更多的现金流进一步与第一组中的一个较低的袖子相关联，并且执行一个或多个现金流中的至少一个以将现金流向一个或多个低配袖。
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