Imagine a Complete Digital Transformation
Make it easy and save time for advisors to onboard clients, open new accounts, receive commissions, and more with a completely digital process.
Improve the efficiency of your entire processing life-cycle by automating critical time consuming administrative and compliance processes.
Boost productivity and eliminate costly errors by implementing best practice automated workflows developed with the latest technology and compliance standards.
Reduce your risk and compliance complexity, while realizing an increase in profits by streamlining your compliance workflows and business rules.
Unified Workflow and Document Management Automation Solution
See Your Immediate Savings
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Burden reduction: 65%
Burden reduction is the expected efficiency rate when using the Docupace fully digital account opening system vs. traditional account opening.
NIGO Rate with Docupace: 8%
Not In Good Order – The percentage of applications that do not get fully processed the first time due to errors or missing information.
Docupace provides the Account Opening Value Calculator (“STP Savings Calculator”) as a service to help prospective customers analyze potential cost savings when leveraging the Docupace Suite. The estimates provided by the STP Savings Calculator are only provided as a guide to help you determine whether you desire to pursue further investigation of straight-through processing options with Docupace. STP Savings Calculator ONLY PROVIDES ESTIMATES. SUCH ESTIMATES ARE NOT A GUARANTEE OF COST SAVINGS. A NUMBER OF OTHER FACTORS MAY AFFECT YOUR ACTUAL COSTS AND SAVINGS, AND YOUR ACTUAL RESULTS MAY DIFFER.
Centralized Control From Any Office
The process of opening and managing new client accounts involves many parties and intense regulatory scrutiny. That adds up to stacks of paperwork and frustrating delays associated with even the smallest error.
The Docupace Platform transforms this process by moving it to the cloud, eliminating paperwork, ensuring SEC/FINRA compliance, and accelerating timelines from days to minutes.
Who Benefits from Docupace?
Broker-Dealers
RIAs
Advisors
Software & Solutions To Increase Your Operational Efficiency, Productivity, and Profit
Account Opening
Open new accounts and update them faster with pre-populated forms, automatic data synchronization, and built-in e-signatures and compliance checks.
Features:
- Paperless Workflows and Validations
- Document Management
- Intelligent Forms
- CRM Integrations
- Clearing and Custodian Integrations
- Mobile Deposit
Centralized Vault
Store your firm’s records into one secure, cloud-based document management solution so you’ll always be prepared for an audit.
Features:
- Secure Storage and Collaboration
- SEC/FINRA Books and Records Compliant
- Drag and Drop File Uploader
- Indexing, Search and Retrieve
- Centralized and Decentralized Scanning
- Event Based Retention
Smart Forms
Search thousands of preloaded or custom forms, choose the ones you need, and watch them automatically populate with client data.
Features:
- Standard and Custom Forms Library
- Intelligent Forms
- Data Validations
- Forms Pre-population and Data Synchronization
- Embedded eSignature
- Alerts and Notifications
Advisor Onboarding
Painlessly onboard new advisors faster and ensure all forms are accurate with powerful electronic workflows and e-signatures enabled paperless process.
Features:
- Paperless Workflows and Validations
- Intelligent Forms
- Document Management
- Alerts and Notifications
- Monitoring and Reporting
- Customizable
Alternative Investments
Take advantage of the new wave of investments fearlessly with compliant alternative investment processing.
Features:
- Paperless Workflows and Validations
- Document Management
- Intelligent Forms
- CRM Integrations
- Clearing and Custodian Integrations
- Monitoring and Reporting
Data Room
Work on complex, multi-party transactions with a secure, full-featured virtual document collaboration tool.
Features:
- Secure Storage and Collaboration
- SEC/FINRA Books and Records Compliant
- Drag and Drop File Uploader
- Indexing, Search and Retrieve
- Centralized and Decentralized Scanning
- Event Based Retention
Compliant Mail
Keep up with SEC customer notification requirements automatically and cut mail-related costs.
Features:
- Paperless Workflows and Validations
- Intelligent Forms
- Document Management
- Alerts and Notifications
- Monitoring and Reporting
- SEC Compliant
Advertising Review
Quickly review your ads for SEC/FINRA compliance and speed up your marketing efforts.
Features:
- Paperless Workflows and Validations
- Intelligent Forms
- Document Management
- Alerts and Notifications
- Monitoring and Reporting
- Customizable
Transition Assistant
Recruiting advisors to your firm? Enable advisors to re-paper their book of business faster so you can keep more clients and minimize business interruptions.
Features:
- Paperless Workflows and Validations
- Intelligent Forms
- Document Management
- Alerts and Notifications
- Monitoring and Reporting
- Customizable
Cybersecurity
Protect your firm by correcting potential security gaps, assess vulnerabilities in systems and processes, and stay protected with ongoing monitoring.
Features:
- Automated Scanning Tools
- Vulnerability Assessment
- Penetration Testing
- Cyber Security Report
- Monitoring and Reporting
Why Our Customers Choose Docupace
Works With The Tools You Already Use
