Ashgrove Charitable SMA

SMA-5231 · Institutional Portfolio Operations (synthetic)

Blocked

1
Blocking: 1
Awaiting authorization: 0
Warnings carried

Strategy: US Large-Cap Direct Index
Mandate: v1.0
Model: 2026.03.1
Rebalance window: Mar 18, 2026 – Mar 20, 2026
Market value: $4,020,000
Projection: pv-caaeadf62a3d

Supporting case. A proposed buy conflicts with a verified client exclusion. It is evaluated by the same engine as the flagship account, at one fixed point in time rather than as a stepped scenario.

Blocking

1 control blocks this rebalance

A hard stop or rebalance blocker that has not passed. Everything else can proceed in parallel.

MANDATE-RESTRICT-004FailHard stop
Client restriction compliance
Due by Mar 16, 2026, 14:20 UTC
Proposed buy of ORCH (Orchard Foods Co), 1,761 shares / $80,390, conflicts with RSTR-SMA-5231-01: "Exclude Orchard Foods Co from this account." (effective 2025-09-01, source Client IPS (synthetic), exclusion schedule).
Owner
Compliance Officer
Client impact
Executing this proposal would buy a security the client has instructed the account to exclude.
Permitted resolution paths
- Propose a substitute from the same model groupPortfolio Manager approval
  Compare model deviation, cash, concentration, and projected tax impact before and after, then obtain a portfolio-manager approval with a recorded reason.
- Raise a client mandate change requestClient Partner approval
  Route the restriction to the client partner with the exact instruction, source, and effective date. The rebalance stays blocked until the change is approved.
Clearing this unblocks 3 controls: GAIN-BUDGET-009, TAX-BASIS-003, WASH-SALE-005

Awaiting a named human

1 decision requires authorization

These do not block the work, but the rebalance cannot be released until an eligible role records a reasoned decision.

APPROVAL-010FailManual review required
Required human authorization
Due Mar 17, 2026, 06:20 UTC
Outstanding: Authorized release of the handoff package.
Owner
Compliance Officer
Client impact
No client impact. An internal authorization is outstanding.
Permitted resolution paths
- Record the outstanding authorizationPortfolio Manager approval
  Review the release package and record the approval with a reason. The approval binds to this exact projection.

Ashgrove Charitable SMA

1 control blocks this rebalance

Client restriction compliance

1 decision requires authorization

Required human authorization

Ashgrove Charitable SMA

1 control blocks this rebalance

Client restriction compliance

1 decision requires authorization

Required human authorization