D-KaP Optimize (part of EpochCore's sealed-evidence product line) seals every model-portfolio rebalance with the constraints in effect and the weights that came out. Built so a Registered Investment Advisor can prove, two years later, exactly why a client portfolio looked the way it did on any given trading day.
If you run model portfolios as a Registered Investment Advisor, SEC examiners will ask you to reconstruct any rebalance: what were the constraints, what were the resulting weights, what was the supervisory check, and how do we know the records were not edited after the rebalance went out the door. Most firms answer with a spreadsheet snapshot and a prayer. When the examiner pushes back, the firm has to rebuild the entire decision trail from system logs — an exercise that turns a two-day exam prep into a two-week scramble.
Optimize captures every rebalance decision the moment it happens: the constraint set that was in effect (concentration limits, sector caps, suitability rules, model drift thresholds), the input prices and portfolio state, the output target weights, and the supervisory identity that approved the change. All five pieces are sealed together into one tamper-evident file. When the SEC examiner asks "show me the August 14 rebalance for Model 7," you pull the file, hand it over, and the examiner verifies it offline. The whole reconstruction takes minutes, not days.
40668c787c463ca5. No call to us required.When your portfolio system rebalances, post the constraint set, the input portfolio state, the output target weights, and the supervisory user to our single endpoint. One JSON object. No special tooling.
Within seconds you get back the signed JSON record and a PDF summary. Store both alongside your normal trade records. Your rebalance workflow does not change.
When the SEC asks for the August 14 rebalance for Model 7, you produce the file. The examiner verifies the seal offline and accepts the record. The "did you edit it" conversation never happens.
Example: A $400M-AUM Registered Investment Advisor running 12 model portfolios used to spend the entire week before each SEC examination rebuilding rebalance trails out of system logs. With Optimize, every rebalance is sealed the moment it happens; their last examination's "show me this rebalance" requests were answered in minutes each, the examiner accepted every file on the first pass, and the exam wrapped two days early.
One billable hour of a compliance consultant reconstructing a single rebalance from system logs costs more than this product per month. An exam week with multiple "show me this rebalance" requests can swallow a full week of senior staff time. Optimize prices out at less than a single billable hour for an entire month of sealed rebalance records, and removes the exam-week scramble altogether.
The same per-rebalance record, with an invisible watermark embedded in both the JSON and the PDF, keyed to your firm and the public root of trust. The mark stays attached through screenshots, JPEG compression, and re-uploads — it held up across 90 of 136 measured tampering attempts at structural similarity index 0.985 and zero false positives in our test set. It is not a magic shield (a determined attacker can still strip a file header), but it is machine-readable proof of custody for downstream SEC inquiries, FINRA referrals, and client-litigation discovery. MEASURED