Ovett Family Office Sleeve

SMA-8125 · Private Client Portfolio Operations (synthetic)

Needs authorized review

0
Blocking: 2
Awaiting authorization: 0
Warnings carried

Strategy: US Large-Cap Direct Index
Mandate: v1.0
Model: 2026.03.1
Rebalance window: Mar 19, 2026 – Mar 20, 2026
Market value: $3,780,000
Projection: pv-115c1259079d

Supporting case. A restriction is recorded but unverified; scope must be confirmed with the client before it is enforced or ignored. It is evaluated by the same engine as the flagship account, at one fixed point in time rather than as a stepped scenario.

Blocking

No control blocks this rebalance

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

Nothing is blocking

Every hard stop and rebalance blocker has passed against the current projection. Warnings and outstanding authorizations are listed below.

Awaiting a named human

2 decisions require authorization

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

MANDATE-RESTRICT-004Manual reviewManual review required
Client restriction compliance
Due Mar 17, 2026, 08:10 UTC
RSTR-SMA-8125-02 ("Client indicated an intent to exclude Health Care; scope not confirmed against the IPS.") is recorded as UNVERIFIED from Relationship email (synthetic); awaiting written confirmation. Scope is not confirmed, so it is routed to review rather than enforced or ignored.
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
APPROVAL-010FailManual review required
Required human authorization
Due Mar 17, 2026, 08:10 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.

Ovett Family Office Sleeve

No control blocks this rebalance

2 decisions require authorization

Client restriction compliance

Required human authorization

Ovett Family Office Sleeve

No control blocks this rebalance

2 decisions require authorization

Client restriction compliance

Required human authorization