Status Badge Glossary
Overview
Ashta surfaces dozens of status badges across the admin and investor experience. Each badge has a user-facing label (what you see on screen) and an internal code (what appears in exports, the audit log, and the database). This article is the canonical reference for all of them.
Whenever an investor, sponsor, or auditor asks "what does this status mean?", search this page (Cmd+F / Ctrl+F) for the label or code. Every other article in the help center links back to the relevant section here.
The badges are grouped into nine categories:
- Investment Stage — where an investor is in a single subscription.
- Transaction Status — the lifecycle state of an investment transaction record.
- DocuSign Signature Status — subscription-document signing.
- Deal Status — the deal-level lifecycle.
- KYC / AML Verification Status — the outcome of identity verification.
- Compliance Status — the ongoing compliance state of an investor.
- Risk Level — the risk classification of an investor.
- Share Certificate Status — the state of an issued share certificate.
- CRM Sync Status — the state of a HubSpot or Zoho sync.
1. Investment Stage
The "investment stage" tracks how far an investor has progressed within a single deal subscription. Every transaction begins at Initiated and either reaches Transaction Complete or is cancelled along the way.
| Label | Internal Code | What It Means | Where You'll See It |
|---|---|---|---|
| Initiated | INITIATED | Investor has expressed interest but not yet committed. | Admin transactions list · investor portfolio in-progress tab. |
| Soft Committed | SOFT_COMMITTED | Investor has indicated an amount but not signed or paid yet. | Admin transactions list · capital pipeline reports. |
| KYC Pending | KYC_PENDING | KYC has been triggered and is awaiting a result. | Investor profile · admin transactions list. |
| KYC Failed | KYC_FAILED | The data-source identity check returned a non-pass result. | Admin transactions list (red badge) · investor profile. |
| ID Verification Pending | ID_VERIFICATION_PENDING | Biometric / document identity verification is in progress. | Investor onboarding · admin profile review. |
| ID Verification Failed | ID_VERIFICATION_FAILED | The biometric / document check requires resubmission or was declined. | Investor onboarding · admin profile review. |
| Admin Verification Pending | PENDING_ADMIN_VERIFICATION | Awaiting a manual decision by an admin or compliance reviewer. | Admin transactions list · compliance review queue. |
| Document Signature Pending | PENDING_DOCUMENT_SIGNATURE | Subscription documents have been sent and are awaiting signature. | Admin transactions list · DocuSign column. |
| Payment Requested | PAYMENT_REQUESTED | Documents are signed; payment instructions have been issued. | Admin transactions list · investor in-progress tab. |
| Transaction Complete | TRANSACTION_COMPLETE | Investor has signed, paid, and is now a holder of record. | Investor portfolio · admin transactions list. |
2. Transaction Status
A transaction record's overall status. This is the column you'll filter most often in the admin transactions list. It includes the investment-stage codes above plus payment, cancellation, refund, and marketplace lifecycle states.
2.1 Pre-Payment
| Label | Internal Code | What It Means |
|---|---|---|
| Initiated | INITIATED | Just-started transaction. |
| Soft Committed | SOFT_COMMITTED | Soft commitment recorded. |
| KYC Pending | KYC_PENDING | Awaiting KYC result. |
| KYC Failed | KYC_FAILED | KYC did not pass. |
| ID Verification Pending | ID_VERIFICATION_PENDING | Awaiting biometric / document verification. |
| ID Verification Failed | ID_VERIFICATION_FAILED | Verification rejected / awaiting resubmission. |
| Admin Verification Pending | PENDING_ADMIN_VERIFICATION | Awaiting manual admin decision. |
| Document Signature Pending | PENDING_DOCUMENT_SIGNATURE | Awaiting DocuSign signatures. |
| Payment Requested | PAYMENT_REQUESTED | Payment instructions issued to the investor. |
| Promo Pending | PROMO_PENDING | Promo code applied; pending verification. |
2.2 Payment Lifecycle
| Label | Internal Code | What It Means |
|---|---|---|
| Payment Pending | PAYMENT_PENDING | Payment in transit (e.g., wire en route, e-transfer initiated). |
| Payment Received | PAID | Funds confirmed received. |
| ZumRails Payment Received | ZUMRAILS_PAYMENT_RECEIVED | Payment via the ZumRails ACH / e-transfer rail confirmed. |
| ZumRails Payment Failed | ZUMRAILS_PAYMENT_FAILED | ZumRails returned a payment failure. |
| Refund Pending | REFUND_PENDING | Refund initiated; not yet returned to investor. |
| Refunded | REFUNDED | Refund completed. |
2.3 Cancellation / Inactive
| Label | Internal Code | What It Means |
|---|---|---|
| Cancelled by User | CANCELLED_BY_USER | Investor cancelled before payment. |
| Cancelled by Admin | CANCELLED_BY_DEAL_ADMIN | Admin cancelled the transaction. |
| Inactive | INACTIVE | Transaction inactive (no further action expected). |
| Moved | MOVED | Transaction reassigned to a different investor or account. |
2.4 Secondary Marketplace
| Label | Internal Code | What It Means |
|---|---|---|
| Marketplace Sale | SECONDARY_MARKETPLACE_SALE | Shares listed for fixed-price sale. |
| Marketplace Sold | SECONDARY_MARKETPLACE_SOLD_SHARES | Fixed-price sale settled. |
| Bid Auction Sale | BID_AUCTION_SALE | Shares listed in a bid auction. |
| Bid Auction Sold | BID_AUCTION_SOLD_SHARES | Bid auction settled. |
| Secondary Auction Sale | SECONDARY_AUCTION_SALE | Shares listed in a secondary (timed) auction. |
| Secondary Auction Processing | SECONDARY_AUCTION_SALE_PROCESSING | Auction matched; settlement in progress. |
| Secondary Auction Sold | SECONDARY_AUCTION_SOLD_SHARES | Secondary auction settled. |
3. DocuSign Signature Status
Tracks the state of a subscription document envelope. Visible on every transaction's DocuSign Status column.
| Label | Internal Code | What It Means |
|---|---|---|
| Pending Initiation | PENDING_INITIATION | Envelope not yet sent. |
| Pending User Signature | PENDING_USER_SIGNATURE | Sent to investor; awaiting their signature. |
| Pending Admin Signature | PENDING_DEAL_ADMIN_SIGNATURE | Investor signed; awaiting admin / sponsor counter-signature. |
| Completed | COMPLETED | Fully signed by all required parties. |
| Cancelled by User | CANCELLED_BY_USER | Investor cancelled before completing signing. |
| Cancelled by Admin | CANCELLED_BY_DEAL_ADMIN | Admin voided the envelope. |
4. Deal Status
The lifecycle state of a deal. Shown on the deal tile, the admin deal list, and (in some cases) translated to a marketing label for investors.
| Label | Internal Code | What It Means |
|---|---|---|
| Coming Soon | COMING_SOON | Deal is set up but not yet open. |
| Deal Live | DEAL_LIVE | Open for investment. |
| Accepting Soft Commitments | ACCEPT_SOFT_COMMITMENT | Open for soft commitments only — no payment yet. |
| Sold Out | SOLD_OUT | Allocation cap reached. |
| Closed | CLOSED | Investment window has closed. |
| Exited | EXITED | Deal has been exited / liquidated. |
| Resale | RESALE | Secondary marketplace open for this deal. |
| Follow-On Raise | FOLLOW_ON_RAISE | An additional raise is open on an existing deal. |
| Declined | DECLINED | Opportunity declined / withdrawn. |
| Deal Pending | DEAL_PENDING | Draft — not yet live. |
5. KYC / AML Verification Status
The outcome of the data-source identity check that runs on every transaction. See the ID Verification and KYC Workflow article for the full flow.
| Label | Internal Code | What It Means |
|---|---|---|
| Pending Verification | PENDING_VERIFICATION | Check has not yet run. |
| In Progress | IN_PROGRESS | Check is in flight. |
| KYC & AML Completed | KYC_AND_AML_COMPLETED | Both single-source and dual-source checks resolved with a positive overall result. |
| KYC & AML Failed | KYC_AND_AML_FAILED | Verification did not pass. |
| KYC & AML Bypassed | KYC_AND_AML_BYPASSED | Verification bypassed (e.g., unsupported country, with rationale logged). |
6. Compliance Status
The ongoing compliance state of an investor, set at onboarding and updated by re-screening, EDD reviews, and manual decisions.
| Label | Internal Code | What It Means |
|---|---|---|
| Cleared | CLEARED | Investor is in good standing; may transact. |
| Pending Review | PENDING_REVIEW | Awaiting compliance team review. |
| EDD Required | EDD_REQUIRED | Flagged for Enhanced Due Diligence. |
| Monitoring | MONITORING | Cleared, but on heightened monitoring. |
| Investigation | INVESTIGATION | Under active investigation. |
| Suspended | SUSPENDED | Transactions blocked pending resolution. |
| Rejected | REJECTED | Investor cannot be onboarded / cannot transact. |
An investor in SUSPENDED, INVESTIGATION, or REJECTED status cannot initiate any new transaction. Status changes are audit-logged.
7. Risk Level
The risk classification assigned to an investor based on country, source of funds, PEP / adverse-media proximity, investor type, and accreditation. Drives whether EDD is required.
| Label | Internal Code | What It Means |
|---|---|---|
| Low | LOW | Standard risk — no additional steps required. |
| Medium | MEDIUM | Slightly elevated — periodic review. |
| High | HIGH | Enhanced Due Diligence and senior compliance sign-off required. |
| Critical | CRITICAL | Highest tier — typically blocks investment pending resolution. |
8. Share Certificate Status
The state of a share certificate in the Share Registry / Transfer Agent ledger.
| Label | Internal Code | What It Means |
|---|---|---|
| Active | ACTIVE | Currently held by the registered owner. |
| Cancelled | CANCELLED | Certificate has been cancelled (e.g., on transfer or redemption). |
| Pledged | PLEDGED | Certificate is pledged as collateral; transfers restricted. |
| Treasury | TREASURY | Certificate held in treasury (e.g., post-buyback). |
9. CRM Sync Status
The state of an investor or activity sync to your configured CRM (HubSpot or Zoho). Each sync goes through a retry table — transient external API failures are not visible to investors.
| Label | Internal Code | What It Means |
|---|---|---|
| Pending | PENDING | Queued for sync. |
| Processing | PROCESSING | Sync in progress. |
| Completed | COMPLETED | Synced successfully. |
| Failed | FAILED | All retry attempts exhausted; manual intervention required. |
| Cancelled by User | CANCELLED_BY_USER | Sync cancelled by an investor action. |
| Cancelled by Admin | CANCELLED_BY_DEAL_ADMIN | Sync cancelled by an admin. |
Reading a Status Badge in the UI
Most status badges in the admin interface follow a consistent colour convention:
- Green — terminal / positive outcome (
Payment Received,Transaction Complete,Cleared,Completed) - Yellow / Amber — in progress / awaiting action (
Pending,Payment Pending,Soft Committed) - Red — failure or cancellation (
KYC Failed,Cancelled,Rejected) - Blue / Purple — marketplace and auction states
- Grey — inactive or draft (
Inactive,Deal Pending)
If a badge in the UI doesn't match what you read here, or if you see a code that's not in this glossary, contact your Ashta account team — it likely means a new state has been introduced and this article needs an update.