WO1999046658A3 - Method and apparatus for creation and management of a portfolio of securities - Google Patents

Method and apparatus for creation and management of a portfolio of securities Download PDF

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Publication number
WO1999046658A3
WO1999046658A3 PCT/US1999/005010 US9905010W WO9946658A3 WO 1999046658 A3 WO1999046658 A3 WO 1999046658A3 US 9905010 W US9905010 W US 9905010W WO 9946658 A3 WO9946658 A3 WO 9946658A3
Authority
WO
WIPO (PCT)
Prior art keywords
portfolio
investor
securities
orders
create
Prior art date
Application number
PCT/US1999/005010
Other languages
French (fr)
Other versions
WO1999046658A2 (en
Inventor
Steven M H Wallman
Original Assignee
Folio Trade Llc
Priority date (The priority date is an assumption and is not a legal conclusion. Google has not performed a legal analysis and makes no representation as to the accuracy of the date listed.)
Filing date
Publication date
Family has litigation
First worldwide family litigation filed litigation Critical https://patents.darts-ip.com/?family=26714915&utm_source=google_patent&utm_medium=platform_link&utm_campaign=public_patent_search&patent=WO1999046658(A3) "Global patent litigation dataset” by Darts-ip is licensed under a Creative Commons Attribution 4.0 International License.
Priority claimed from US09/038,158 external-priority patent/US6996539B1/en
Priority to AU28994/99A priority Critical patent/AU774433B2/en
Priority to BR9908683-2A priority patent/BR9908683A/en
Priority to EP99909899A priority patent/EP1062557A2/en
Priority to KR1020007010033A priority patent/KR20000068156A/en
Application filed by Folio Trade Llc filed Critical Folio Trade Llc
Priority to CA002323425A priority patent/CA2323425A1/en
Priority to JP2000535978A priority patent/JP2002507015A/en
Priority to IL13838899A priority patent/IL138388A/en
Priority to MXPA00008877A priority patent/MXPA00008877A/en
Publication of WO1999046658A2 publication Critical patent/WO1999046658A2/en
Publication of WO1999046658A3 publication Critical patent/WO1999046658A3/en

Links

Classifications

    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/04Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/06Asset management; Financial planning or analysis
    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/10Tax strategies
    • GPHYSICS
    • G06COMPUTING; CALCULATING OR COUNTING
    • G06QINFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR
    • G06Q40/00Finance; Insurance; Tax strategies; Processing of corporate or income taxes
    • G06Q40/12Accounting

Abstract

Smaller investors can create and manage on a cost-effective basis a complex portfolio of securities using a mechanism (1, 2) that enables the investor to provide to the system the investor's preferences regarding his portfolio, to generate a portfolio, including fractional shares, that reflects the investor's preferences. The system then permits aggregation of the orders, and netting of orders, generated by multiple investors at various times during the day for execution (5). In addition, the structure (7) of the computer-based system of the present invention allows its cost to be based on access or usage of the system (such as a monthly fee) as opposed to by securities orders entered into the system as per common brokerage. The result is that the investor can create a portfolio of directly owned securities with attributes, such as diversification, similar to a mutual fund.
PCT/US1999/005010 1998-03-11 1999-03-05 Method and apparatus for creation and management of a portfolio of securities WO1999046658A2 (en)

Priority Applications (8)

Application Number Priority Date Filing Date Title
MXPA00008877A MXPA00008877A (en) 1998-03-11 1999-03-05 Method and apparatus for enabling individual or smaller investors or others to create and manage a portofolio of securities or other assets or liabilities on a cost effective basis.
IL13838899A IL138388A (en) 1998-03-11 1999-03-05 Method and apparatus for creation and management of a portfolio of securities
BR9908683-2A BR9908683A (en) 1998-03-11 1999-03-05 System, method and apparatus to enable individual or minor investors or others to create and control a portfolio of credit securities or other assets or obligations on a cost-effective basis
EP99909899A EP1062557A2 (en) 1998-03-11 1999-03-05 Method and apparatus for enabling individual or smaller investors or others to create and manage a portofolio of securities or other assets or liabilities on a cost effective basis
KR1020007010033A KR20000068156A (en) 1998-03-11 1999-03-05 Method and apparatus for enabling individual or smaller investors or other to create and manage a portfolio of securities or other assets or liabilities on a cost effective basis
AU28994/99A AU774433B2 (en) 1998-03-11 1999-03-05 Method and apparatus for enabling individual or smaller investors or others to create and manage a portofolio of securities or other assets or liabilities on a cost effective basis
CA002323425A CA2323425A1 (en) 1998-03-11 1999-03-05 Method and apparatus for creation and management of a portfolio of securities
JP2000535978A JP2002507015A (en) 1998-03-11 1999-03-05 Method and apparatus for enabling individuals or small investors to cost effectively build and manage portfolios of securities or other assets or liabilities

Applications Claiming Priority (4)

Application Number Priority Date Filing Date Title
US09/038,158 US6996539B1 (en) 1998-03-11 1998-03-11 Method and apparatus for enabling smaller investors or others to create and manage a portfolio of securities or other assets or liabilities on a cost effective basis
US09/038,158 1998-03-11
US09/139,020 US6601044B1 (en) 1998-03-11 1998-08-24 Method and apparatus for enabling individual or smaller investors or others to create and manage a portfolio of securities or other assets or liabilities on a cost effective basis
US09/139,020 1998-08-24

Publications (2)

Publication Number Publication Date
WO1999046658A2 WO1999046658A2 (en) 1999-09-16
WO1999046658A3 true WO1999046658A3 (en) 2000-02-03

Family

ID=26714915

Family Applications (1)

Application Number Title Priority Date Filing Date
PCT/US1999/005010 WO1999046658A2 (en) 1998-03-11 1999-03-05 Method and apparatus for creation and management of a portfolio of securities

Country Status (12)

Country Link
US (11) US7110971B2 (en)
EP (1) EP1062557A2 (en)
JP (1) JP2002507015A (en)
CN (1) CN1316077A (en)
AU (1) AU774433B2 (en)
BR (1) BR9908683A (en)
CA (1) CA2323425A1 (en)
EG (1) EG21952A (en)
IL (1) IL138388A (en)
MX (1) MXPA00008877A (en)
TW (1) TW466427B (en)
WO (1) WO1999046658A2 (en)

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WO1999046658A2 (en) 1999-09-16
US8099344B2 (en) 2012-01-17
IL138388A (en) 2005-09-25
US20030208432A1 (en) 2003-11-06
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AU2899499A (en) 1999-09-27
US20090276372A1 (en) 2009-11-05
EP1062557A2 (en) 2000-12-27
US8078490B2 (en) 2011-12-13
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US20100205110A1 (en) 2010-08-12
US20150178841A1 (en) 2015-06-25
MXPA00008877A (en) 2002-04-24
TW466427B (en) 2001-12-01
US7546267B2 (en) 2009-06-09
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JP2002507015A (en) 2002-03-05
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US7552082B2 (en) 2009-06-23

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