“Having a team of people who really work side by side with you, who understand your business and the Financial industry thats helps to evolve your business as it grows.”
When a new advisor joins a firm, they should be able to hit the ground running, meet clients, process transactions, and get a feel for their new role. Unfortunately, onboarding paperwork usually consumes the first weeks of an advisor’s new job.
The Docupace Platform includes streamlined advisor onboarding workflows that enable a secure, compliant, and quick onboarding process, eliminating the need for ink-signed forms and minimizing the risk of errors
with all necessary forms
been completed correctly
Advertising — like everything else in the financial industry — is highly regulated. Failure to comply with SEC and FINRA advertising regulations can result in huge penalties.
Docupace leverages a powerful workflow engine to enable fast, consistent, and simple compliance reviews of advertising materials. From creation to submission to storage and indexing, Docupace takes the hassle out of checking public communications for SEC and FINRA compliance.
Clients are demanding access to investment options that go beyond stocks and bonds. Unfortunately, alternatives are subject to a different set of regulations than traditional investments, and that means a lot more work for broker-dealers and RIAs.
Docupace enables financial services firms to meet the demands of investors without increasing overhead.
who might be interested in alternatives
Transition Assistant Has Helped Hundreds of Advisors Change Firms Fast
“The biggest thing with Docupace is the strength of partnership. We’re in an industry where change is constant and to be able to have a partner that we can work through challenge and opportunities with is very important. Docupace is as good as it gets. We truly value what they bring to the table.”