Completing a Stock Comparison Manually

This guide will provide guidance on completing a stock comparison manually. You will also learn how to link a comparison to a client and complete pre-trade disclosures. 

Completing a Stock Comparison and Adding a Justification Note on a Product Level 

Process:

1. Under the Main Comparison Tab, under All, select Create Comparison.
2. Select New portfolio.
3. Manually add your stock and two other comparable stocks. For the purposes of this demo, we will select a TD Stock, BMO Stock, and Royal Bank stock. Given weighting is not an important element for stock comparisons, the most efficient way to allocate weight to the holdings is by clicking Allocate evenly. Proceed by naming the portfolio and then clicking save the portfolio.
4. You will be redirected to a new screen where you will have the opportunity to expand the holdings and review all the metrics for the stocks. 
5. Scroll to the top of the screen to name and save this comparison. We will name this comparison as TD, BMO, RY Stock Comparison. Then click Save.
6. From here, proceed by selecting the Suitability tab to document your notes on the product level.
7. On a product level, the focus will solely be on questions one and two. For further guidance on the questions within the Suitability tab, please refer to our video, Completing a Comparison and Justification on a Single Product. There are number of different reasons why you may prefer your product over the others, for additional commonly recorded justification reasons, please refer to our FAQ. For stock comparisons, a best practice is to add the date above your note. As this is not a read only file, if additional notes are added in the future, it will override the logged date of the initial note. Because this is a manual comparison, ensure to also include the metrics you used when selecting your comparable products such as: return, market cap, risk profile, etc. For additional commonly compared metrics, please refer to our FAQ. 
8. Once you have completed recording your note, ensure to click Submit.
9. You can refer to your manual stock comparison and justification note under the main Comparisons tab, and then under the All subtab.

Note:

• Because the automated comparison on stocks is not an available feature at the moment, you will not see a solid green checkmark on stocks when you create your manual comparison.
• Your manual comparison will also not show up under the compliance tab.
• It is anticipated that CapIntel will make stock comparison automated in the future, at which time it will be the same process as completing a comparison on a mutual fund or ETF.

Connecting a Stock Comparison to a Client's Profile and Adding Pre-Trade Disclosures 

Process:

1. To link a manual stock comparison to a client, begin by clicking on the My Models subtab within the Models tab. 
2. Hover over your desired comparison and click Compare. 
3. Proceed by naming your Comparison, then click save. You may then select and save to your contact. 
4. To record your optional pre-trade disclosures, click on the Suitability tab. 
5. Proceed by making your selections. As previously mentioned, you are not required to add a justification note in question one or answer question two as they have already been recorded on the product level. 
6. Once completed, click submit. 
7. To retrieve your saved comparison and pre-trade disclosures at a future date, click on the Assigned subtab under the Comparisons tab. Here you may search by client to retrieve all comparisons linked to a client. 
8. Once a comparison has been selected, you may click on the Suitability tab to review your selections and notes. 
9. You may also review your comparison by scrolling to the bottom of the page and clicking on the arrows to expand.